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: 811-21866
NAME OF REGISTRANT: Highland Funds I
ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 200 Crescent Court
Suite 700
Dallas , TX 75201
NAME AND ADDRESS OF AGENT FOR SERVICE: Highland Capital Management
Fund Advisors, L.P.
200 Crescent Court
Suite 700
Dallas, TX 75201
REGISTRANT'S TELEPHONE NUMBER: 972-628-4100
DATE OF FISCAL YEAR END: 06/30
DATE OF REPORTING PERIOD: 07/01/2018 - 06/30/2019
Highland Long/Short Equity Fund
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AERIE PHARMACEUTICALS, INC. Agenda Number: 934982679
--------------------------------------------------------------------------------------------------------------------------
Security: 00771V108
Meeting Type: Annual
Meeting Date: 23-May-2019
Ticker: AERI
ISIN: US00771V1089
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
G. D. Cagle, Ph.D. Mgmt For For
R. Croarkin Mgmt For For
2. Ratification of the appointment of Mgmt For For
PricewaterhouseCoopers LLP as the Company's
independent registered public accounting
firm for the fiscal year ending December
31, 2019.
3. To approve, by a non-binding vote, the Mgmt For For
compensation of our named executive
officers ("say-on-pay").
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ALPHABET INC. Agenda Number: 935018956
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Security: 02079K305
Meeting Type: Annual
Meeting Date: 19-Jun-2019
Ticker: GOOGL
ISIN: US02079K3059
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Larry Page Mgmt For For
Sergey Brin Mgmt For For
John L. Hennessy Mgmt For For
L. John Doerr Mgmt For For
Roger W. Ferguson, Jr. Mgmt For For
Ann Mather Mgmt For For
Alan R. Mulally Mgmt For For
Sundar Pichai Mgmt For For
K. Ram Shriram Mgmt For For
Robin L. Washington Mgmt For For
2. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as Alphabet's independent
registered public accounting firm for the
fiscal year ending December 31, 2019.
3. The amendment and restatement of Alphabet's Mgmt For For
2012 Stock Plan to increase the share
reserve by 3,000,000 shares of Class C
capital stock.
4. A stockholder proposal regarding equal Shr For Against
shareholder voting, if properly presented
at the meeting.
5. A stockholder proposal regarding Shr For Against
inequitable employment practices, if
properly presented at the meeting.
6. A stockholder proposal regarding the Shr Against For
establishment of a societal risk oversight
committee, if properly presented at the
meeting.
7. A stockholder proposal regarding a report Shr For Against
on sexual harassment risk management, if
properly presented at the meeting.
8. A stockholder proposal regarding majority Shr For Against
vote for the election of directors, if
properly presented at the meeting.
9. A stockholder proposal regarding a report Shr Against For
on gender pay, if properly presented at the
meeting.
10. A stockholder proposal regarding strategic Shr Against For
alternatives, if properly presented at the
meeting.
11. A stockholder proposal regarding the Shr Against For
nomination of an employee representative
director, if properly presented at the
meeting.
12. A stockholder proposal regarding simple Shr Against For
majority vote, if properly presented at the
meeting.
13. A stockholder proposal regarding a Shr Against For
sustainability metrics report, if properly
presented at the meeting.
14. A stockholder proposal regarding Google Shr Against For
Search in China, if properly presented at
the meeting.
15. A stockholder proposal regarding a clawback Shr For Against
policy, if properly presented at the
meeting.
16. A stockholder proposal regarding a report Shr For Against
on content governance, if properly
presented at the meeting.
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AMAZON.COM, INC. Agenda Number: 934985954
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Security: 023135106
Meeting Type: Annual
Meeting Date: 22-May-2019
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: Rosalind G. Brewer Mgmt For For
1c. Election of Director: Jamie S. Gorelick Mgmt For For
1d. Election of Director: Daniel P. Mgmt For For
Huttenlocher
1e. Election of Director: Judith A. McGrath Mgmt For For
1f. Election of Director: Indra K. Nooyi Mgmt For For
1g. Election of Director: Jonathan J. Mgmt For For
Rubinstein
1h. Election of Director: Thomas O. Ryder Mgmt For For
1i. Election of Director: Patricia Q. Mgmt For For
Stonesifer
1j. 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. SHAREHOLDER PROPOSAL REQUESTING AN ANNUAL Shr Against For
REPORT ON MANAGEMENT OF FOOD WASTE.
5. SHAREHOLDER PROPOSAL REQUESTING A REDUCTION Shr For Against
IN THE OWNERSHIP THRESHOLD FOR CALLING
SPECIAL SHAREHOLDER MEETINGS.
6. SHAREHOLDER PROPOSAL REQUESTING A BAN ON Shr Against For
GOVERNMENT USE OF CERTAIN TECHNOLOGIES.
7. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr For Against
THE IMPACT OF GOVERNMENT USE OF CERTAIN
TECHNOLOGIES.
8. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr For Against
CERTAIN PRODUCTS.
9. SHAREHOLDER PROPOSAL REQUESTING AN Shr Against For
INDEPENDENT BOARD CHAIR POLICY.
10. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr For Against
CERTAIN EMPLOYMENT POLICIES.
11. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr For Against
CLIMATE CHANGE TOPICS.
12. SHAREHOLDER PROPOSAL REQUESTING A BOARD Shr Against For
IDEOLOGY DISCLOSURE POLICY.
13. SHAREHOLDER PROPOSAL REQUESTING CHANGES TO Shr Against For
THE COMPANY'S GENDER PAY REPORTING.
14. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For
INTEGRATING CERTAIN METRICS INTO EXECUTIVE
COMPENSATION.
15. SHAREHOLDER PROPOSAL REGARDING Shr Against For
VOTE-COUNTING PRACTICES FOR SHAREHOLDER
PROPOSALS.
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AMERIPRISE FINANCIAL, INC. Agenda Number: 934943069
--------------------------------------------------------------------------------------------------------------------------
Security: 03076C106
Meeting Type: Annual
Meeting Date: 24-Apr-2019
Ticker: AMP
ISIN: US03076C1062
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: James M. Cracchiolo Mgmt For For
1b. Election of Director: Dianne Neal Blixt Mgmt For For
1c. Election of Director: Amy DiGeso Mgmt For For
1d. Election of Director: Lon R. Greenberg Mgmt For For
1e. Election of Director: Jeffrey Noddle Mgmt For For
1f. Election of Director: Robert F. Sharpe, Jr. Mgmt For For
1g. Election of Director: W. Edward Walter III Mgmt For For
1h. Election of Director: Christopher J. Mgmt For For
Williams
2. To approve the compensation of the named Mgmt Against Against
executive officers by a nonbinding advisory
vote.
3. To ratify the Audit Committee's selection Mgmt For For
of PricewaterhouseCoopers LLP as the
Company's independent registered public
accounting firm for 2019.
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ANDEAVOR Agenda Number: 934865948
--------------------------------------------------------------------------------------------------------------------------
Security: 03349M105
Meeting Type: Special
Meeting Date: 24-Sep-2018
Ticker: ANDV
ISIN: US03349M1053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated as of April 29, 2018, among Andeavor,
Marathon Petroleum Corporation, Mahi Inc.
and Mahi LLC, as such agreement may be
amended from time to time, which is
referred to as the merger agreement.
2. To approve, by a non-binding advisory vote, Mgmt For For
certain compensation that may be paid or
become payable to Andeavor's named
executive officers that is based on or
otherwise relates to the merger
contemplated by the merger agreement.
3. To adjourn the special meeting, if Mgmt For For
reasonably necessary to provide
stockholders with any required supplement
or amendment to the joint proxy
statement/prospectus or to solicit
additional proxies in the event there are
not sufficient votes at the time of the
special meeting to approve Proposal 1
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AVAYA HOLDINGS CORP. Agenda Number: 934978327
--------------------------------------------------------------------------------------------------------------------------
Security: 05351X101
Meeting Type: Annual
Meeting Date: 15-May-2019
Ticker: AVYA
ISIN: US05351X1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
William D. Watkins Mgmt For For
James M. Chirico, Jr. Mgmt For For
Stephan Scholl Mgmt For For
Susan L. Spradley Mgmt For For
Stanley J. Sutula, III Mgmt For For
Scott D. Vogel Mgmt For For
Jacqueline E. Yeaney Mgmt For For
2. To approve, on an advisory basis, our named Mgmt Against Against
executive officers' compensation.
3. To approve, on an advisory basis, the Mgmt 1 Year For
frequency of future advisory votes to
approve our named executive officers'
compensation.
4. To ratify the appointment of Mgmt For For
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for the fiscal year ending September
30, 2019.
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BIO-RAD LABORATORIES, INC. Agenda Number: 934985904
--------------------------------------------------------------------------------------------------------------------------
Security: 090572207
Meeting Type: Annual
Meeting Date: 29-Apr-2019
Ticker: BIO
ISIN: US0905722072
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of Director: Arnold A. Pinkston Mgmt For For
1.2 Election of Director: Melinda Litherland Mgmt For For
2. PROPOSAL to ratify the selection of KPMG Mgmt For For
LLP to serve as the Company's independent
auditors.
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BROADCOM INC Agenda Number: 934928598
--------------------------------------------------------------------------------------------------------------------------
Security: 11135F101
Meeting Type: Annual
Meeting Date: 01-Apr-2019
Ticker: AVGO
ISIN: US11135F1012
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Mr. Hock E. Tan Mgmt For For
1b. Election of Director: Dr. Henry Samueli Mgmt For For
1c. Election of Director: Mr. Eddy W. Mgmt For For
Hartenstein
1d. Election of Director: Ms. Diane M. Bryant Mgmt For For
1e. Election of Director: Ms. Gayla J. Delly Mgmt For For
1f. Election of Director: Mr. Check Kian Low Mgmt For For
1g. Election of Director: Mr. Peter J. Marks Mgmt For For
1h. Election of Director: Mr. Harry L. You Mgmt For For
2. Ratification of the appointment of Mgmt For For
Pricewaterhouse- Coopers LLP as Broadcom's
independent registered public accounting
firm for the fiscal year ending November 3,
2019.
3. To approve amendments to Broadcom's Second Mgmt For For
Amended and Restated Employee Share
Purchase Plan.
4. Non-binding, advisory vote to approve Mgmt Against Against
compensation of Broadcom's named executive
officers.
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CDK GLOBAL, INC. Agenda Number: 934881423
--------------------------------------------------------------------------------------------------------------------------
Security: 12508E101
Meeting Type: Annual
Meeting Date: 13-Nov-2018
Ticker: CDK
ISIN: US12508E1010
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Leslie A. Brun Mgmt For For
Willie A. Deese Mgmt For For
Amy J. Hillman Mgmt For For
Brian P. MacDonald Mgmt For For
Eileen J. Martinson Mgmt For For
Stephen A. Miles Mgmt For For
Robert E. Radway Mgmt For For
S.F. Schuckenbrock Mgmt For For
Frank S. Sowinski Mgmt For For
2. Advisory vote to approve executive Mgmt For For
compensation.
3. Ratify the appointment of Deloitte & Touche Mgmt For For
LLP as our independent registered public
accounting firm for fiscal year ending June
30, 2019.
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CIT GROUP INC. Agenda Number: 934963922
--------------------------------------------------------------------------------------------------------------------------
Security: 125581801
Meeting Type: Annual
Meeting Date: 14-May-2019
Ticker: CIT
ISIN: US1255818015
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Ellen R. Alemany Mgmt For For
1b. Election of Director: Michael L. Brosnan Mgmt For For
1c. Election of Director: Michael A. Carpenter Mgmt For For
1d. Election of Director: Dorene C. Dominguez Mgmt For For
1e. Election of Director: Alan Frank Mgmt For For
1f. Election of Director: William M. Freeman Mgmt For For
1g. Election of Director: R. Brad Oates Mgmt For For
1h. Election of Director: Gerald Rosenfeld Mgmt For For
1i. Election of Director: Vice Admiral John R. Mgmt For For
Ryan, USN (Ret.)
1j. Election of Director: Sheila A. Stamps Mgmt For For
1k. Election of Director: Khanh T. Tran Mgmt For For
1l. Election of Director: Laura S. Unger Mgmt For For
2. To ratify the appointment of Deloitte & Mgmt For For
Touche LLP as CIT's independent registered
public accounting firm and external
auditors for 2019.
3. To recommend, by non-binding vote, the Mgmt For For
compensation of CIT's named executive
officers.
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CLOUDERA, INC. Agenda Number: 935025785
--------------------------------------------------------------------------------------------------------------------------
Security: 18914U100
Meeting Type: Annual
Meeting Date: 20-Jun-2019
Ticker: CLDR
ISIN: US18914U1007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Martin Cole Mgmt For For
Peter Fenton Mgmt For For
Rosemary Schooler Mgmt For For
2. Ratification of independent registered Mgmt For For
public accounting firm, Ernst & Young LLP,
for the fiscal year ending January 31, 2020
3. Non-binding advisory vote to approve the Mgmt Against Against
compensation of our named executive
officers.
4. Non-binding advisory vote on the frequency Mgmt 1 Year Against
of future non- binding advisory votes to
approve the compensation of our named
executive officers.
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CME GROUP INC. Agenda Number: 934879909
--------------------------------------------------------------------------------------------------------------------------
Security: 12572Q105
Meeting Type: Special
Meeting Date: 29-Nov-2018
Ticker: CME
ISIN: US12572Q1058
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approve an amendment and restatement of our Mgmt For For
certificate of incorporation to eliminate
all or some of the Class B Election Rights.
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CONCHO RESOURCES INC Agenda Number: 934846671
--------------------------------------------------------------------------------------------------------------------------
Security: 20605P101
Meeting Type: Special
Meeting Date: 17-Jul-2018
Ticker: CXO
ISIN: US20605P1012
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approval of the issuance of shares of Mgmt For For
Concho common stock in connection with the
Agreement and Plan of Merger, dated March
27, 2018.
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CONTINENTAL RESOURCES, INC. Agenda Number: 934966790
--------------------------------------------------------------------------------------------------------------------------
Security: 212015101
Meeting Type: Annual
Meeting Date: 16-May-2019
Ticker: CLR
ISIN: US2120151012
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Harold G. Hamm Mgmt For For
John T. McNabb, II Mgmt For For
2. Ratification of selection of Grant Thornton Mgmt For For
LLP as independent registered public
accounting firm.
3. Approve, by a non-binding vote, the Mgmt For For
compensation of the named executive
officers.
4. Publish long-term assessment of impact of Shr For Against
measures to limit global temperature rise
to two degrees Celsius.
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CORNERSTONE ONDEMAND, INC. Agenda Number: 935010924
--------------------------------------------------------------------------------------------------------------------------
Security: 21925Y103
Meeting Type: Annual
Meeting Date: 11-Jun-2019
Ticker: CSOD
ISIN: US21925Y1038
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Dean Carter Mgmt For For
Elisa A. Steele Mgmt For For
2. To approve, on an advisory basis, the Mgmt For For
compensation of our named executive
officers.
3. To ratify the appointment of Mgmt For For
PricewaterhouseCoopers LLP as Cornerstone
OnDemand, Inc.'s independent registered
public accounting firm for the fiscal year
ending December 31, 2019.
4. To approve an amendment and restatement of Mgmt Against Against
the Cornerstone OnDemand, Inc. 2010 Equity
Incentive Plan.
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CRYOLIFE, INC. Agenda Number: 934957943
--------------------------------------------------------------------------------------------------------------------------
Security: 228903100
Meeting Type: Annual
Meeting Date: 15-May-2019
Ticker: CRY
ISIN: US2289031005
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Thomas F. Ackerman Mgmt For For
Daniel J. Bevevino Mgmt For For
Marna P. Borgstrom Mgmt For For
James W. Bullock Mgmt For For
Jeffrey H. Burbank Mgmt For For
J. Patrick Mackin Mgmt For For
Ronald D. McCall, Esq. Mgmt For For
Harvey Morgan Mgmt For For
Jon W. Salveson Mgmt For For
2. To approve, by non-binding vote, the Mgmt For For
compensation paid to CryoLife's named
executive officers, as disclosed pursuant
to Item 402 of Regulation S-K, including
the Compensation Discussion and Analysis,
compensation tables, and narrative
discussion.
3. To approve certain amendments to the Mgmt For For
Amended and Restated Articles of
Incorporation of CryoLife, Inc. clarifying
Company authority under Florida law and
updating language related to preferred
stock and statutory references.
4. To ratify the approval of Ernst & Young LLP Mgmt For For
as the independent registered public
accounting firm for the company for the
fiscal year ending December 31, 2019.
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DEVON ENERGY CORPORATION Agenda Number: 935003169
--------------------------------------------------------------------------------------------------------------------------
Security: 25179M103
Meeting Type: Annual
Meeting Date: 05-Jun-2019
Ticker: DVN
ISIN: US25179M1036
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Barbara M. Baumann Mgmt For For
John E. Bethancourt Mgmt For For
Ann G. Fox Mgmt For For
David A. Hager Mgmt For For
Robert H. Henry Mgmt For For
Michael M. Kanovsky Mgmt For For
John Krenicki Jr. Mgmt For For
Robert A. Mosbacher Jr. Mgmt For For
Duane C. Radtke Mgmt For For
Keith O. Rattie Mgmt For For
Mary P. Ricciardello Mgmt For For
2. Ratify the appointment of the Company's Mgmt For For
Independent Auditors for 2019.
3. Advisory Vote to Approve Executive Mgmt For For
Compensation.
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DIAMOND HILL INVESTMENT GROUP, INC. Agenda Number: 934949782
--------------------------------------------------------------------------------------------------------------------------
Security: 25264R207
Meeting Type: Annual
Meeting Date: 01-May-2019
Ticker: DHIL
ISIN: US25264R2076
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of Director: Christopher M. Mgmt For For
Bingaman
1.2 Election of Director: Randolph J. Fortener Mgmt For For
1.3 Election of Director: James F. Laird Mgmt For For
1.4 Election of Director: Paula R. Meyer Mgmt For For
1.5 Election of Director: Paul A. Reeder, III Mgmt For For
1.6 Election of Director: Bradley C. Shoup Mgmt For For
1.7 Election of Director: Nicole R. St. Pierre Mgmt For For
2. Ratification of the appointment of KPMG LLP Mgmt For For
as the Company's independent registered
public accounting firm for the fiscal year
ending December 31, 2019.
3. Approval, on an advisory basis, of the Mgmt For For
compensation of the Company's named
executive officers.
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E*TRADE FINANCIAL CORPORATION Agenda Number: 934958921
--------------------------------------------------------------------------------------------------------------------------
Security: 269246401
Meeting Type: Annual
Meeting Date: 09-May-2019
Ticker: ETFC
ISIN: US2692464017
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Richard J. Carbone Mgmt For For
1b. Election of Director: Robert J. Chersi Mgmt For For
1c. Election of Director: Jaime W. Ellertson Mgmt For For
1d. Election of Director: James P. Healy Mgmt For For
1e. Election of Director: Kevin T. Kabat Mgmt For For
1f. Election of Director: James Lam Mgmt For For
1g. Election of Director: Rodger A. Lawson Mgmt For For
1h. Election of Director: Shelley B. Leibowitz Mgmt For For
1i. Election of Director: Karl A. Roessner Mgmt For For
1j. Election of Director: Rebecca Saeger Mgmt For For
1k. Election of Director: Donna L. Weaver Mgmt For For
1l. Election of Director: Joshua A. Weinreich Mgmt For For
2. To approve, by a non-binding advisory vote, Mgmt For For
the compensation of the Company's Named
Executive Officers (the "Say-on-Pay Vote"),
as disclosed in the Proxy Statement for the
2019 Annual Meeting.
3. To ratify the appointment of Deloitte & Mgmt For For
Touche LLP as the Company's independent
registered public accounting firm for 2019.
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EPAM SYSTEMS, INC. Agenda Number: 934995816
--------------------------------------------------------------------------------------------------------------------------
Security: 29414B104
Meeting Type: Annual
Meeting Date: 05-Jun-2019
Ticker: EPAM
ISIN: US29414B1044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard Michael Mayoras Mgmt For For
Karl Robb Mgmt For For
Helen Shan Mgmt For For
2. To ratify the appointment of Deloitte & Mgmt For For
Touche LLP as the Company's Independent
Registered Public Accounting Firm for the
fiscal year ending December 31, 2019.
3. To approve, on an advisory and non-binding Mgmt For For
basis, the compensation for our named
executive officers as disclosed in this
Proxy Statement.
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FACEBOOK, INC. Agenda Number: 934995082
--------------------------------------------------------------------------------------------------------------------------
Security: 30303M102
Meeting Type: Annual
Meeting Date: 30-May-2019
Ticker: FB
ISIN: US30303M1027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Peggy Alford Mgmt For For
Marc L. Andreessen Mgmt For For
Kenneth I. Chenault Mgmt For For
S. D. Desmond-Hellmann Mgmt For For
Sheryl K. Sandberg Mgmt For For
Peter A. Thiel Mgmt For For
Jeffrey D. Zients Mgmt For For
Mark Zuckerberg Mgmt For For
2. To ratify the appointment of Ernst & Young Mgmt For For
LLP as Facebook, Inc.'s independent
registered public accounting firm for the
fiscal year ending December 31, 2019.
3. To approve, on a non-binding advisory Mgmt For For
basis, the compensation program for
Facebook, Inc.'s named executive officers
as disclosed in Facebook, Inc.'s proxy
statement.
4. To vote, on a non-binding advisory basis, Mgmt 1 Year Against
whether a non-binding advisory vote on the
compensation program for Facebook, Inc.'s
named executive officers should be held
every one, two or three years.
5. A stockholder proposal regarding change in Shr For Against
stockholder voting.
6. A stockholder proposal regarding an Shr Against For
independent chair.
7. A stockholder proposal regarding majority Shr For Against
voting for directors.
8. A stockholder proposal regarding true Shr Against For
diversity board policy.
9. A stockholder proposal regarding a content Shr For Against
governance report.
10. A stockholder proposal regarding median Shr Against For
gender pay gap.
11. A stockholder proposal regarding workforce Shr Against For
diversity.
12. A stockholder proposal regarding strategic Shr Against For
alternatives.
--------------------------------------------------------------------------------------------------------------------------
HERON THERAPEUTICS, INC. Agenda Number: 935021232
--------------------------------------------------------------------------------------------------------------------------
Security: 427746102
Meeting Type: Annual
Meeting Date: 18-Jun-2019
Ticker: HRTX
ISIN: US4277461020
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A Election of Director: Kevin Tang Mgmt For For
1B Election of Director: Barry Quart, Pharm.D. Mgmt For For
1C Election of Director: Craig Johnson Mgmt For For
1D Election of Director: John Poyhonen Mgmt For For
1E Election of Director: Christian Waage Mgmt For For
2. To ratify the appointment of OUM & Co. LLP Mgmt For For
as the Company's independent registered
public accounting firm for the year ending
December 31, 2019.
3. To approve, on an advisory basis, Mgmt Against Against
compensation paid to the Company's Named
Executive Officers during the year ended
December 31, 2018.
4. To approve, on an advisory basis, the Mgmt 1 Year For
frequency of future advisory votes to
approve compensation paid to the Company's
Named Executive Officers.
5. To amend the Company's 2007 Amended and Mgmt Against Against
Restated Equity Incentive Plan to increase
the number of shares of common stock
authorized for issuance thereunder from
18,800,000 to 25,800,000.
6. To amend the Company's 1997 Employee Stock Mgmt For For
Purchase Plan, as amended to increase the
number of shares of common stock authorized
for issuance thereunder from 475,000 to
775,000.
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INTEL CORPORATION Agenda Number: 934963679
--------------------------------------------------------------------------------------------------------------------------
Security: 458140100
Meeting Type: Annual
Meeting Date: 16-May-2019
Ticker: INTC
ISIN: US4581401001
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Aneel Bhusri Mgmt For For
1b. Election of Director: Andy D. Bryant Mgmt For For
1c. Election of Director: Reed E. Hundt Mgmt For For
1d. Election of Director: Omar Ishrak Mgmt For For
1e. Election of Director: Risa Lavizzo-Mourey Mgmt For For
1f. Election of Director: Tsu-Jae King Liu Mgmt For For
1g. Election of Director: Gregory D. Smith Mgmt For For
1h. Election of Director: Robert ("Bob") H. Mgmt For For
Swan
1i. Election of Director: Andrew Wilson Mgmt For For
1j. Election of Director: Frank D. Yeary Mgmt For For
2. Ratification of selection of Ernst & Young Mgmt For For
LLP as our independent registered public
accounting firm for 2019
3. Advisory vote to approve executive Mgmt Against Against
compensation of our listed officers
4. Approval of amendment and restatement of Mgmt For For
the 2006 Equity Incentive Plan
5. Stockholder proposal on whether to allow Shr Against For
stockholders to act by written consent, if
properly presented
6. Stockholder proposal requesting a report on Shr Against For
the risks associated with emerging public
policies addressing the gender pay gap, if
properly presented
7. Stockholder proposal requesting an annual Shr Against For
advisory vote on political contributions,
if properly presented
--------------------------------------------------------------------------------------------------------------------------
INTELSAT S.A. Agenda Number: 935010380
--------------------------------------------------------------------------------------------------------------------------
Security: L5140P101
Meeting Type: Annual
Meeting Date: 13-Jun-2019
Ticker: I
ISIN: LU0914713705
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approval of Statutory Stand-Alone Financial Mgmt For For
Statements
2. Approval of Consolidated Financial Mgmt For For
Statements
3. Approval of Allocation of Annual Results Mgmt For For
4. Approval of Grant of Discharge to Directors Mgmt For For
for Performance
5a. Re-election of Director: John Diercksen Mgmt For For
5b. Re-election of Director: Edward Kangas Mgmt For For
6. Approval of Director Remuneration for the Mgmt For For
Year 2019
7. Approval of Re-appointment of Independent Mgmt For For
Registered Accounting Firm (see notice for
further details)
8. Approval of Share Repurchases and Treasury Mgmt Against Against
Share Holdings (see notice for further
details)
9. Acknowledgement of Report and Approval of Mgmt Against Against
an Extension of the Validity Period of the
Authorized Share Capital and Related
Authorization and Waiver, and the
Suppression and Waiver of Shareholder
Pre-Emptive Rights (see notice for further
details)
--------------------------------------------------------------------------------------------------------------------------
INTUITIVE SURGICAL, INC. Agenda Number: 934941938
--------------------------------------------------------------------------------------------------------------------------
Security: 46120E602
Meeting Type: Annual
Meeting Date: 25-Apr-2019
Ticker: ISRG
ISIN: US46120E6023
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Craig H. Barratt, Mgmt For For
Ph.D.
1b. Election of Director: Gary S. Guthart, Mgmt For For
Ph.D.
1c. Election of Director: Amal M. Johnson Mgmt For For
1d. Election of Director: Don R. Kania, Ph.D. Mgmt For For
1e. Election of Director: Keith R. Leonard, Jr. Mgmt For For
1f. Election of Director: Alan J. Levy, Ph.D. Mgmt For For
1g. Election of Director: Jami Dover Nachtsheim Mgmt For For
1h. Election of Director: Mark J. Rubash Mgmt For For
1i. Election of Director: Lonnie M. Smith Mgmt For For
2. To approve, by advisory vote, the Mgmt For For
compensation of the Company's Named
Executive Officers.
3. The ratification of appointment of Mgmt For For
PricewaterhouseCoopers LLP as the Company's
independent registered public accounting
firm for the fiscal year ending December
31, 2019.
4. To approve the amendment and restatement of Mgmt For For
the 2010 Incentive Award Plan.
5. A stockholder proposal entitled "Simple Shr For Against
Majority Vote."
--------------------------------------------------------------------------------------------------------------------------
JETBLUE AIRWAYS CORPORATION Agenda Number: 934971208
--------------------------------------------------------------------------------------------------------------------------
Security: 477143101
Meeting Type: Annual
Meeting Date: 16-May-2019
Ticker: JBLU
ISIN: US4771431016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: B. Ben Baldanza Mgmt For For
1b. Election of Director: Peter Boneparth Mgmt For For
1c. Election of Director: Virginia Gambale Mgmt For For
1d. Election of Director: Stephan Gemkow Mgmt For For
1e. Election of Director: Robin Hayes Mgmt For For
1f. Election of Director: Ellen Jewett Mgmt For For
1g. Election of Director: Joel Peterson Mgmt For For
1h. Election of Director: Sarah Robb O'Hagan Mgmt For For
1i. Election of Director: Frank Sica Mgmt For For
1j. Election of Director: Thomas Winkelmann Mgmt For For
2. To approve, on an advisory basis, the Mgmt For For
compensation of our named executive
officers.
3. To ratify the selection of Ernst & Young Mgmt For For
LLP as our independent registered public
accounting firm for the fiscal year ending
December 31, 2019.
4. To vote on the stockholder proposal related Shr For Against
to the right to act by written consent, if
properly presented at the annual meeting.
--------------------------------------------------------------------------------------------------------------------------
KKR & CO. INC. Agenda Number: 934911985
--------------------------------------------------------------------------------------------------------------------------
Security: 48251W104
Meeting Type: Special
Meeting Date: 28-Jan-2019
Ticker: KKR
ISIN: US48251W1045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approve the KKR & Co. Inc. 2019 Equity Mgmt Against Against
Incentive Plan.
--------------------------------------------------------------------------------------------------------------------------
LHC GROUP, INC. Agenda Number: 935010289
--------------------------------------------------------------------------------------------------------------------------
Security: 50187A107
Meeting Type: Annual
Meeting Date: 13-Jun-2019
Ticker: LHCG
ISIN: US50187A1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Monica F. Azare Mgmt For For
Teri G. Fontenot Mgmt For For
John L. Indest Mgmt For For
2. To adopt, on an advisory basis, a Mgmt For For
resolution approving the compensation of
our named executive officers.
3. The ratification of the selection of KPMG Mgmt For For
LLP as the independent registered public
accounting firm for the fiscal year ending
December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
LIVE NATION ENTERTAINMENT, INC. Agenda Number: 935006901
--------------------------------------------------------------------------------------------------------------------------
Security: 538034109
Meeting Type: Annual
Meeting Date: 06-Jun-2019
Ticker: LYV
ISIN: US5380341090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Mark Carleton Mgmt For For
1B. Election of Director: Maverick Carter Mgmt For For
1C. Election of Director: Ariel Emanuel Mgmt For For
1D. Election of Director: Robert Ted Enloe, III Mgmt For For
1E. Election of Director: Ping Fu Mgmt For For
1F. Election of Director: Jeffrey T. Hinson Mgmt For For
1G. Election of Director: James lovine Mgmt For For
1H. Election of Director: James S. Kahan Mgmt For For
1I. Election of Director: Gregory B. Maffei Mgmt For For
1J. Election of Director: Randall T. Mays Mgmt For For
1K. Election of Director: Michael Rapino Mgmt For For
1L. Election of Director: Mark S. Shapiro Mgmt For For
1M. Election of Director: Dana Walden Mgmt Against Against
2. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as Live Nation Entertainment's
independent registered public accounting
firm for the 2019 fiscal year.
--------------------------------------------------------------------------------------------------------------------------
MICROSOFT CORPORATION Agenda Number: 934884544
--------------------------------------------------------------------------------------------------------------------------
Security: 594918104
Meeting Type: Annual
Meeting Date: 28-Nov-2018
Ticker: MSFT
ISIN: US5949181045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: William H. Gates lll Mgmt For For
1b. Election of Director: Reid G. Hoffman Mgmt For For
1c. Election of Director: Hugh F. Johnston Mgmt For For
1d. Election of Director: Teri L. List-Stoll Mgmt For For
1e. Election of Director: Satya Nadella Mgmt For For
1f. Election of Director: Charles H. Noski Mgmt For For
1g. Election of Director: Helmut Panke Mgmt For For
1h. Election of Director: Sandra E. Peterson Mgmt For For
1i. Election of Director: Penny S. Pritzker Mgmt For For
1j. Election of Director: Charles W. Scharf Mgmt For For
1k. Election of Director: Arne M. Sorenson Mgmt For For
1l. Election of Director: John W. Stanton Mgmt For For
1m. Election of Director: John W. Thompson Mgmt For For
1n. Election of Director: Padmasree Warrior Mgmt For For
2. Advisory vote to approve named executive Mgmt For For
officer compensation
3. Ratification of Deloitte & Touche LLP as Mgmt For For
our independent auditor for fiscal year
2019
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY Agenda Number: 934980423
--------------------------------------------------------------------------------------------------------------------------
Security: 617446448
Meeting Type: Annual
Meeting Date: 23-May-2019
Ticker: MS
ISIN: US6174464486
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Elizabeth Corley Mgmt For For
1b. Election of Director: Alistair Darling Mgmt For For
1c. Election of Director: Thomas H. Glocer Mgmt For For
1d. Election of Director: James P. Gorman Mgmt For For
1e. Election of Director: Robert H. Herz Mgmt For For
1f. Election of Director: Nobuyuki Hirano Mgmt For For
1g. Election of Director: Jami Miscik Mgmt For For
1h. Election of Director: Dennis M. Nally Mgmt For For
1i. Election of Director: Takeshi Ogasawara Mgmt For For
1j. Election of Director: Hutham S. Olayan Mgmt For For
1k. Election of Director: Mary L. Schapiro Mgmt For For
1l. Election of Director: Perry M. Traquina Mgmt For For
1m. Election of Director: Rayford Wilkins, Jr. Mgmt For For
2. To ratify the appointment of Deloitte & Mgmt For For
Touche LLP as independent auditor
3. To approve the compensation of executives Mgmt For For
as disclosed in the proxy statement
(non-binding advisory vote)
4. Shareholder proposal regarding an annual Shr Against For
report on lobbying expenses
--------------------------------------------------------------------------------------------------------------------------
NETFLIX, INC. Agenda Number: 934997252
--------------------------------------------------------------------------------------------------------------------------
Security: 64110L106
Meeting Type: Annual
Meeting Date: 06-Jun-2019
Ticker: NFLX
ISIN: US64110L1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Class II Director: Timothy M. Mgmt For For
Haley
1b. Election of Class II Director: Leslie Mgmt For For
Kilgore
1c. Election of Class II Director: Ann Mather Mgmt For For
1d. Election of Class II Director: Susan Rice Mgmt For For
2. To ratify the appointment of Ernst & Young Mgmt For For
LLP as the Company's independent registered
public accounting firm for the year ending
December 31, 2019.
3. Advisory approval of the Company's Mgmt Against Against
executive officer compensation.
4. Stockholder proposal regarding political Shr Against For
disclosure, if properly presented at the
meeting.
5. Stockholder proposal regarding simple Shr For Against
majority vote, if properly presented at the
meeting.
--------------------------------------------------------------------------------------------------------------------------
NEWMARK GROUP, INC. Agenda Number: 934864984
--------------------------------------------------------------------------------------------------------------------------
Security: 65158N102
Meeting Type: Annual
Meeting Date: 25-Sep-2018
Ticker: NMRK
ISIN: US65158N1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Howard W. Lutnick Mgmt For For
Michael Snow Mgmt For For
Virginia S. Bauer Mgmt For For
Peter F. Cervinka Mgmt For For
2. Approval, on an advisory basis, of Mgmt For For
executive compensation.
3. Approval, on an advisory basis, of the Mgmt 1 Year Against
frequency of future advisory votes on
executive compensation.
--------------------------------------------------------------------------------------------------------------------------
PALO ALTO NETWORKS, INC. Agenda Number: 934891599
--------------------------------------------------------------------------------------------------------------------------
Security: 697435105
Meeting Type: Annual
Meeting Date: 07-Dec-2018
Ticker: PANW
ISIN: US6974351057
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Class I Director: John M. Mgmt For For
Donovan
1b. Election of Class I Director: Mary Pat Mgmt For For
McCarthy
1c. Election of Class I Director: Nir Zuk Mgmt For For
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, 2019.
3. To approve, on an advisory basis, the Mgmt Against Against
compensation of our named executive
officers.
4. To approve, on an advisory basis, the Mgmt 1 Year For
frequency of holding future advisory votes
on executive compensation.
--------------------------------------------------------------------------------------------------------------------------
PENDRELL CORP Agenda Number: 934848132
--------------------------------------------------------------------------------------------------------------------------
Security: 70686R500
Meeting Type: Annual
Meeting Date: 06-Jul-2018
Ticker: PCOA
ISIN: US70686R5000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard P. Emerson Mgmt For For
Nicolas Kauser Mgmt For For
Craig O. McCaw Mgmt For For
Lee E. Mikles Mgmt For For
R. Gerard Salemme Mgmt For For
Stuart M. Sloan Mgmt For For
H. Brian Thompson Mgmt For For
2. Approval of an amendment to the Articles of Mgmt Abstain Against
Incorporation, as amended (the"Articles"),
to effect a reverse stock split at an
exchange ratio of 1-for-250.
3. Approval of an amendment to the Articles to Mgmt Abstain Against
authorize shareholders to approve by
non-unanimous consent any matter required
or permitted to be submitted to a
shareholder vote.
4. Approval of an amendment to the Articles to Mgmt Abstain Against
conform the "exclusive forum" provision
currently set forth in the Articles to
Section 23B.02.080 of the Revised Code of
Washington.
--------------------------------------------------------------------------------------------------------------------------
PENSKE AUTOMOTIVE GROUP, INC. Agenda Number: 934957094
--------------------------------------------------------------------------------------------------------------------------
Security: 70959W103
Meeting Type: Annual
Meeting Date: 09-May-2019
Ticker: PAG
ISIN: US70959W1036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
John D. Barr Mgmt For For
Lisa Davis Mgmt For For
Wolfgang Durheimer Mgmt For For
Michael R. Eisenson Mgmt For For
Robert H. Kurnick, Jr. Mgmt For For
Kimberly J. McWaters Mgmt For For
Roger S. Penske Mgmt For For
Roger S. Penske, Jr. Mgmt For For
Sandra E. Pierce Mgmt For For
Greg C. Smith Mgmt For For
Ronald G. Steinhart Mgmt For For
H. Brian Thompson Mgmt For For
Masashi Yamanaka Mgmt For For
2. Ratification of the selection of Deloitte & Mgmt For For
Touche LLP as the Company's independent
auditing firm for the year ending December
31, 2019.
3. Approval, by non-binding vote, of executive Mgmt For For
compensation.
--------------------------------------------------------------------------------------------------------------------------
PIONEER NATURAL RESOURCES COMPANY Agenda Number: 934976652
--------------------------------------------------------------------------------------------------------------------------
Security: 723787107
Meeting Type: Annual
Meeting Date: 16-May-2019
Ticker: PXD
ISIN: US7237871071
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Edison C. Buchanan Mgmt For For
1b. Election of Director: Andrew F. Cates Mgmt For For
1c. Election of Director: Phillip A. Gobe Mgmt For For
1d. Election of Director: Larry R. Grillot Mgmt For For
1e. Election of Director: Stacy P. Methvin Mgmt For For
1f. Election of Director: Royce W. Mitchell Mgmt For For
1g. Election of Director: Frank A. Risch Mgmt For For
1h. Election of Director: Scott D. Sheffield Mgmt For For
1i. Election of Director: Mona K. Sutphen Mgmt For For
1j. Election of Director: J. Kenneth Thompson Mgmt For For
1k. Election of Director: Phoebe A. Wood Mgmt For For
1l. Election of Director: Michael D. Wortley Mgmt For For
2. RATIFICATION OF SELECTION OF ERNST & YOUNG Mgmt For For
LLP AS THE COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2019
3. ADVISORY VOTE TO APPROVE NAMED EXECUTIVE Mgmt For For
OFFICER COMPENSATION
--------------------------------------------------------------------------------------------------------------------------
PORTOLA PHARMACEUTICALS, INC. Agenda Number: 935007371
--------------------------------------------------------------------------------------------------------------------------
Security: 737010108
Meeting Type: Annual
Meeting Date: 13-Jun-2019
Ticker: PTLA
ISIN: US7370101088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Laura Brege Mgmt For For
Scott Garland Mgmt For For
Hollings Renton Mgmt For For
2. To approve, on an advisory basis, the Mgmt For For
compensation of the Company's named
executive officers, as disclosed in this
proxy statement.
3. To ratify the selection of Ernst & Young Mgmt For For
LLP as the Company's independent registered
public accounting firm for the fiscal year
ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
SAGE GROUP PLC Agenda Number: 710475674
--------------------------------------------------------------------------------------------------------------------------
Security: G7771K142
Meeting Type: AGM
Meeting Date: 27-Feb-2019
Ticker:
ISIN: GB00B8C3BL03
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 TO RECEIVE AND CONSIDER THE ANNUAL REPORT & Mgmt For For
ACCOUNTS FOR THE YEAR ENDED 30 SEPTEMBER
2018
2 TO DECLARE A FINAL DIVIDEND OF 10.85 PENCE Mgmt For For
PER ORDINARY SHARE FOR THE YEAR ENDED 30
SEPTEMBER 2018
3 TO RE-ELECT SIR DONALD BRYDON AS A DIRECTOR Mgmt For For
4 TO RE-ELECT NEIL BERKETT AS A DIRECTOR Mgmt For For
5 TO RE-ELECT BLAIR CRUMP AS A DIRECTOR Mgmt For For
6 TO RE-ELECT DRUMMOND HALL AS A DIRECTOR Mgmt For For
7 TO RE-ELECT STEVE HARE AS A DIRECTOR Mgmt For For
8 TO RE-ELECT JONATHAN HOWELL AS A DIRECTOR Mgmt For For
9 TO RE-ELECT SONI JIANDANI AS A DIRECTOR Mgmt For For
10 TO RE-ELECT CATH KEERS AS A DIRECTOR Mgmt For For
11 TO RE-APPOINT ERNST & YOUNG LLP AS AUDITORS Mgmt For For
TO THE COMPANY
12 TO AUTHORISE THE AUDIT AND RISK COMMITTEE Mgmt For For
TO DETERMINE THE REMUNERATION OF THE
AUDITORS TO THE COMPANY
13 TO APPROVE THE DIRECTORS' REMUNERATION Mgmt For For
REPORT
14 TO APPROVE THE DIRECTORS' REMUNERATION Mgmt For For
POLICY
15 TO AUTHORISE THE DIRECTORS TO ALLOT SHARES Mgmt For For
16 TO EMPOWER THE DIRECTORS TO ALLOT EQUITY Mgmt For For
SECURITIES FOR CASH
17 TO GRANT AUTHORITY TO THE COMPANY TO MAKE Mgmt For For
MARKET PURCHASES OF OWN SHARES
18 TO ALLOW GENERAL MEETINGS (OTHER THAN Mgmt For For
ANNUAL GENERAL MEETINGS) TO BE CALLED ON
NOT LESS THAN 14 CLEAR DAYS' NOTICE
19 TO APPROVE AND ADOPT THE SAGE GROUP 2019 Mgmt For For
RESTRICTED SHARE PLAN
20 TO APPROVE AMENDMENTS TO THE SAGE GROUP Mgmt For For
2010 RESTRICTED SHARE PLAN
--------------------------------------------------------------------------------------------------------------------------
SBA COMMUNICATIONS CORPORATION Agenda Number: 934969695
--------------------------------------------------------------------------------------------------------------------------
Security: 78410G104
Meeting Type: Annual
Meeting Date: 16-May-2019
Ticker: SBAC
ISIN: US78410G1040
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of Director for a three-year term: Mgmt For For
Kevin L. Beebe
1.2 Election of Director for a three-year term: Mgmt For For
Jack Langer
1.3 Election of Director for a three-year term: Mgmt For For
Jeffrey A. Stoops
2. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as SBA's independent registered
public accounting firm for the 2019 fiscal
year.
3. Approval, on an advisory basis, of the Mgmt For For
compensation of SBA's named executive
officers.
--------------------------------------------------------------------------------------------------------------------------
SELECT INCOME REIT Agenda Number: 934904687
--------------------------------------------------------------------------------------------------------------------------
Security: 81618T100
Meeting Type: Special
Meeting Date: 20-Dec-2018
Ticker: SIR
ISIN: US81618T1007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approval of the merger, or the Merger, of Mgmt Against Against
Select Income REIT with & into GOV MS
REIT,a Maryland real estate investment
trust that is a wholly owned subsidiary of
Government Properties Income Trust, with
GOV MS REIT as the surviving entity in the
Merger, pursuant to the Agreement and Plan
of Merger, dated as of September 14, 2018,
as it may be amended from time to time, or
the Merger Agreement, by and among
Government Properties Income Trust, GOV MS
REIT and Select Income REIT and the other
transactions contemplated by Merger
Agreement.
2. Approval of the adjournment of the special Mgmt Against Against
meeting of shareholders of Select Income
REIT from time to time, if necessary or
appropriate, including to solicit
additional proxies in favor of the Merger
and the other transactions contemplated by
the Merger Agreement to which Select Income
REIT is a party if there are insufficient
votes at the time of such adjournment to
approve such proposal.
--------------------------------------------------------------------------------------------------------------------------
SHIRE PLC Agenda Number: 934899622
--------------------------------------------------------------------------------------------------------------------------
Security: 82481R106
Meeting Type: Special
Meeting Date: 05-Dec-2018
Ticker: SHPG
ISIN: US82481R1068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the Scheme of Arrangement. Mgmt For For
2. Special Resolution: THAT for the purpose of Mgmt For For
giving effect to the Scheme of Arrangement:
(1) the Board of Directors of the Company
(the "Board") be authorized to take all
such action as they may consider necessary
or appropriate for carrying the Scheme of
Arrangement into effect, (2) the articles
of association of the Company be amended by
the adoption and inclusion of a new Article
154 and (3) conditional upon and with
effect from the sanctioning of the Scheme
of Arrangement ...(due to space limits, see
proxy material for full proposal).
--------------------------------------------------------------------------------------------------------------------------
SHOPIFY INC. Agenda Number: 935012372
--------------------------------------------------------------------------------------------------------------------------
Security: 82509L107
Meeting Type: Annual
Meeting Date: 29-May-2019
Ticker: SHOP
ISIN: CA82509L1076
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
Tobias Lutke Mgmt For For
Robert Ashe Mgmt For For
Gail Goodman Mgmt For For
Colleen Johnston Mgmt For For
Jeremy Levine Mgmt For For
John Phillips Mgmt For For
2 Resolution approving the re-appointment of Mgmt For For
PricewaterhouseCoopers LLP as auditors of
the Company and authorizing the Board of
Directors to fix their remuneration.
3 Non-binding advisory resolution that the Mgmt Against Against
shareholders accept the Company's approach
to executive compensation as disclosed in
the Management Information Circular for the
Meeting.
--------------------------------------------------------------------------------------------------------------------------
SSGA FUNDS Agenda Number: 934897123
--------------------------------------------------------------------------------------------------------------------------
Security: 857492706
Meeting Type: Special
Meeting Date: 18-Dec-2018
Ticker: GVMXX
ISIN: US8574927062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. DIRECTOR
John R. Costantino Mgmt For For
Michael A. Jessee Mgmt For For
Ellen M. Needham Mgmt For For
Donna M. Rapaccioli Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
SURGERY PARTNERS INC. Agenda Number: 935024062
--------------------------------------------------------------------------------------------------------------------------
Security: 86881A100
Meeting Type: Annual
Meeting Date: 29-May-2019
Ticker: SGRY
ISIN: US86881A1007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
John A. Deane Mgmt Split 23% For Split
Teresa DeLuca, M.D. Mgmt Split 23% For Split
Wayne S. DeVeydt Mgmt Split 23% For Split
2. Approval, on an advisory basis, of the Mgmt Split 23% Against Split
compensation paid by the Company to its
named executive officers.
3. Ratification of the appointment of Deloitte Mgmt Split 23% For Split
& Touche LLP as our independent registered
public accounting firm for the fiscal year
ending December 31, 2019.
4. Approval of an amendment to the Company's Mgmt Split 23% For Split
2015 Omnibus Incentive Plan to increase the
number of authorized shares reserved for
issuance under the 2015 Omnibus Incentive
Plan.
--------------------------------------------------------------------------------------------------------------------------
TAKE-TWO INTERACTIVE SOFTWARE, INC. Agenda Number: 934862966
--------------------------------------------------------------------------------------------------------------------------
Security: 874054109
Meeting Type: Annual
Meeting Date: 21-Sep-2018
Ticker: TTWO
ISIN: US8740541094
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Strauss Zelnick Mgmt For For
Michael Dornemann Mgmt For For
J Moses Mgmt For For
Michael Sheresky Mgmt For For
LaVerne Srinivasan Mgmt For For
Susan Tolson Mgmt For For
Paul Viera Mgmt For For
2. Approval, on a non-binding advisory basis, Mgmt For For
of the compensation of the Company's "named
executive officers" as disclosed in the
Proxy Statement.
3. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as our Independent registered
public accounting firm for the fiscal year
ending March 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
THE SHERWIN-WILLIAMS COMPANY Agenda Number: 934937876
--------------------------------------------------------------------------------------------------------------------------
Security: 824348106
Meeting Type: Annual
Meeting Date: 17-Apr-2019
Ticker: SHW
ISIN: US8243481061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: K.B. Anderson Mgmt For For
1b. Election of Director: A.F. Anton Mgmt For For
1c. Election of Director: J.M. Fettig Mgmt For For
1d. Election of Director: D.F. Hodnik Mgmt For For
1e. Election of Director: R.J. Kramer Mgmt For For
1f. Election of Director: S.J. Kropf Mgmt For For
1g. Election of Director: J.G. Morikis Mgmt For For
1h. Election of Director: C.A. Poon Mgmt For For
1i. Election of Director: J.M. Stropki Mgmt For For
1j. Election of Director: M.H. Thaman Mgmt For For
1k. Election of Director: M. Thornton III Mgmt For For
1l. Election of Director: S.H. Wunning Mgmt For For
2. Advisory approval of the compensation of Mgmt For For
the named executives.
3. Ratification of Ernst & Young LLP as our Mgmt For For
independent registered public accounting
firm for 2019.
--------------------------------------------------------------------------------------------------------------------------
U.S. BANCORP Agenda Number: 934932131
--------------------------------------------------------------------------------------------------------------------------
Security: 902973304
Meeting Type: Annual
Meeting Date: 16-Apr-2019
Ticker: USB
ISIN: US9029733048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Warner L. Baxter Mgmt For For
1b. Election of Director: Dorothy J. Bridges Mgmt For For
1c. Election of Director: Elizabeth L. Buse Mgmt For For
1d. Election of Director: Marc N. Casper Mgmt For For
1e. Election of Director: Andrew Cecere Mgmt For For
1f. Election of Director: Arthur D. Collins, Mgmt For For
Jr.
1g. Election of Director: Kimberly J. Harris Mgmt For For
1h. Election of Director: Roland A. Hernandez Mgmt For For
1i. Election of Director: Doreen Woo Ho Mgmt For For
1j. Election of Director: Olivia F. Kirtley Mgmt For For
1k. Election of Director: Karen S. Lynch Mgmt For For
1l. Election of Director: Richard P. McKenney Mgmt For For
1m. Election of Director: Yusuf I. Mehdi Mgmt For For
1n. Election of Director: David B. O'Maley Mgmt For For
1o. Election of Director: O'dell M. Owens, Mgmt For For
M.D., M.P.H.
1p. Election of Director: Craig D. Schnuck Mgmt For For
1q. Election of Director: Scott W. Wine Mgmt For For
2. The ratification of the selection of Ernst Mgmt For For
& Young LLP as our independent auditor for
the 2019 fiscal year.
3. An advisory vote to approve the Mgmt For For
compensation of our executives disclosed in
the proxy statement.
--------------------------------------------------------------------------------------------------------------------------
UNITED RENTALS, INC. Agenda Number: 934953642
--------------------------------------------------------------------------------------------------------------------------
Security: 911363109
Meeting Type: Annual
Meeting Date: 08-May-2019
Ticker: URI
ISIN: US9113631090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Jose B. Alvarez Mgmt For For
1b. Election of Director: Marc A. Bruno Mgmt For For
1c. Election of Director: Matthew J. Flannery Mgmt For For
1d. Election of Director: Bobby J. Griffin Mgmt For For
1e. Election of Director: Kim Harris Jones Mgmt For For
1f. Election of Director: Terri L. Kelly Mgmt For For
1g. Election of Director: Michael J. Kneeland Mgmt For For
1h. Election of Director: Gracia C. Martore Mgmt For For
1i. Election of Director: Jason D. Papastavrou Mgmt For For
1j. Election of Director: Filippo Passerini Mgmt For For
1k. Election of Director: Donald C. Roof Mgmt For For
1l. Election of Director: Shiv Singh Mgmt For For
2. Ratification of Appointment of Public Mgmt For For
Accounting Firm.
3. Advisory Approval of Executive Mgmt For For
Compensation.
4. Approval of 2019 Long Term Incentive Plan. Mgmt For For
5. Stockholder Proposal on Right to Act by Shr For Against
Written Consent.
--------------------------------------------------------------------------------------------------------------------------
VISA INC. Agenda Number: 934911074
--------------------------------------------------------------------------------------------------------------------------
Security: 92826C839
Meeting Type: Annual
Meeting Date: 29-Jan-2019
Ticker: V
ISIN: US92826C8394
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Lloyd A. Carney Mgmt For For
1b. Election of Director: Mary B. Cranston Mgmt For For
1c. Election of Director: Francisco Javier Mgmt For For
Fernandez-Carbajal
1d. Election of Director: Alfred F. Kelly, Jr. Mgmt For For
1e. Election of Director: John F. Lundgren Mgmt For For
1f. Election of Director: Robert W. Matschullat Mgmt For For
1g. Election of Director: Denise M. Morrison Mgmt For For
1h. Election of Director: Suzanne Nora Johnson Mgmt For For
1i. Election of Director: John A. C. Swainson Mgmt For For
1j. Election of Director: Maynard G. Webb, Jr. Mgmt For For
2. Advisory vote to approve executive Mgmt For For
compensation.
3. Ratification of the appointment of KPMG LLP Mgmt For For
as our independent registered public
accounting firm for the 2019 fiscal year.
--------------------------------------------------------------------------------------------------------------------------
WASTE MANAGEMENT, INC. Agenda Number: 934958933
--------------------------------------------------------------------------------------------------------------------------
Security: 94106L109
Meeting Type: Annual
Meeting Date: 14-May-2019
Ticker: WM
ISIN: US94106L1098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Frank M. Clark, Jr. Mgmt For For
1b. Election of Director: James C. Fish, Jr. Mgmt For For
1c. Election of Director: Andres R. Gluski Mgmt For For
1d. Election of Director: Patrick W. Gross Mgmt For For
1e. Election of Director: Victoria M. Holt Mgmt For For
1f. Election of Director: Kathleen M. Mgmt For For
Mazzarella
1g. Election of Director: John C. Pope Mgmt For For
1h. Election of Director: Thomas H. Weidemeyer Mgmt For For
2. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as the independent registered
public accounting firm for 2019.
3. Approval of our executive compensation. Mgmt For For
4. Stockholder proposal regarding a policy Shr Against For
restricting accelerated vesting of equity
awards upon a change in control, if
properly presented at the meeting.
--------------------------------------------------------------------------------------------------------------------------
WESTERN ALLIANCE BANCORPORATION Agenda Number: 934997264
--------------------------------------------------------------------------------------------------------------------------
Security: 957638109
Meeting Type: Annual
Meeting Date: 04-Jun-2019
Ticker: WAL
ISIN: US9576381092
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Bruce Beach Mgmt For For
1B. Election of Director: Howard N. Gould Mgmt For For
1C. Election of Director: Steven J. Hilton Mgmt For For
1D. Election of Director: Marianne Boyd Johnson Mgmt For For
1E. Election of Director: Robert P. Latta Mgmt For For
1F. Election of Director: Todd Marshall Mgmt For For
1G. Election of Director: Adriane McFetridge Mgmt For For
1H. Election of Director: James E. Nave, D.V.M. Mgmt For For
1I. Election of Director: Michael Patriarca Mgmt For For
1J. Election of Director: Robert Gary Sarver Mgmt For For
1K. Election of Director: Donald D. Snyder Mgmt For For
1L. Election of Director: Sung Won Sohn, Ph.D. Mgmt For For
1M. Election of Director: Kenneth A. Vecchione Mgmt For For
2. Approve, on a non-binding advisory basis, Mgmt For For
executive compensation.
3. Ratify the appointment of RSM US LLP as the Mgmt For For
Company's independent auditor.
Highland Long/Short Healthcare Fund
--------------------------------------------------------------------------------------------------------------------------
ACADIA HEALTHCARE COMPANY, INC. Agenda Number: 934950189
--------------------------------------------------------------------------------------------------------------------------
Security: 00404A109
Meeting Type: Annual
Meeting Date: 02-May-2019
Ticker: ACHC
ISIN: US00404A1097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of Director: William F. Grieco Mgmt For For
1.2 Election of Director: Reeve B. Waud Mgmt For For
2. Advisory vote on the compensation of the Mgmt Against Against
Company's named executive officers as
presented in the Proxy Statement.
3. Advisory vote on the frequency of the Mgmt 1 Year For
advisory vote on the compensation of the
Company's named executive officers.
4. Ratify the appointment of Ernst & Young LLP Mgmt For For
as the Company's independent registered
public accounting firm for the fiscal year
ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
AERIE PHARMACEUTICALS, INC. Agenda Number: 934982679
--------------------------------------------------------------------------------------------------------------------------
Security: 00771V108
Meeting Type: Annual
Meeting Date: 23-May-2019
Ticker: AERI
ISIN: US00771V1089
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
G. D. Cagle, Ph.D. Mgmt For For
R. Croarkin Mgmt For For
2. Ratification of the appointment of Mgmt For For
PricewaterhouseCoopers LLP as the Company's
independent registered public accounting
firm for the fiscal year ending December
31, 2019.
3. To approve, by a non-binding vote, the Mgmt For For
compensation of our named executive
officers ("say-on-pay").
--------------------------------------------------------------------------------------------------------------------------
AGILE THERAPEUTICS INC Agenda Number: 935011368
--------------------------------------------------------------------------------------------------------------------------
Security: 00847L100
Meeting Type: Annual
Meeting Date: 06-Jun-2019
Ticker: AGRX
ISIN: US00847L1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Seth H. Z. Fischer Mgmt For For
William T. McKee Mgmt For For
2. Ratify the appointment of Ernst & Young LLP Mgmt For For
as the Company's independent registered
public accounting firm for the year ending
December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
AIMMUNE THERAPEUTICS, INC. Agenda Number: 934981300
--------------------------------------------------------------------------------------------------------------------------
Security: 00900T107
Meeting Type: Annual
Meeting Date: 23-May-2019
Ticker: AIMT
ISIN: US00900T1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Jayson D.A Dallas, M.D Mgmt For For
Mark T. Iwicki Mgmt For For
Gregory Behar Mgmt Withheld Against
2. To ratify the selection, by the Audit Mgmt For For
Committee of the Company's Board of
Directors, of KPMG LLP as the independent
registered public accounting firm of the
Company for its fiscal year ending December
31, 2019.
3. To approve the compensation of the named Mgmt Against Against
executive officers as disclosed in the
Company's proxy statement in accordance
with the compensation disclosure rules of
the Securities and Exchange Commission.
--------------------------------------------------------------------------------------------------------------------------
AMARIN CORPORATION PLC Agenda Number: 935013196
--------------------------------------------------------------------------------------------------------------------------
Security: 023111206
Meeting Type: Annual
Meeting Date: 20-May-2019
Ticker: AMRN
ISIN: US0231112063
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To re-elect Mr. Jan van Heek as a director. Mgmt For For
2. To re-elect Ms. Kristine Peterson as a Mgmt For For
director.
3. To hold an advisory (non-binding) vote to Mgmt For For
approve the compensation of the Company's
"named executive officers" as described in
full in the "Executive Compensation
Discussion and Analysis" section, the
tabular disclosure regarding such
compensation, and the accompanying
narrative disclosure on pages 25 to 55 of
the accompanying Proxy Statement.
4. To appoint Ernst & Young LLP as auditors of Mgmt For For
the Company to hold office until the
conclusion of the next general meeting at
which accounts are laid before the Company
and to authorize the Audit Committee of the
Board of Directors of the Company to fix
the auditors' remuneration as described in
full on pages 9 to 10 of the accompanying
Proxy Statement.
5. To generally and unconditionally Mgmt Against Against
reauthorize the Board of Directors of the
Company to exercise all powers of the
Company to allot shares in the Company or
grant rights to subscribe for or to convert
any security into shares of the Company up
to an aggregate nominal amount of GBP
148,000,000 (being the aggregate nominal
amount of GBP 125,000,000 in respect of
ordinary shares and GBP 23,000,000 in
respect of preference shares) as described
in full on pages 11 to 12 of the
accompanying Proxy Statement.
6. To, subject to the passing of Resolution Mgmt Against Against
No. 5, disapply statutory pre-emption
rights otherwise applicable to shares in
the Company allotted by the Board of
Directors, up to an aggregate nominal
amount of GBP 148,000,000 (being the
aggregate nominal amount of GBP 125,000,000
in respect of ordinary shares and GBP
23,000,000 in respect of preference shares)
as described in full on pages 13 to 14 of
the accompanying Proxy Statement.
--------------------------------------------------------------------------------------------------------------------------
AMGEN INC. Agenda Number: 934979266
--------------------------------------------------------------------------------------------------------------------------
Security: 031162100
Meeting Type: Annual
Meeting Date: 21-May-2019
Ticker: AMGN
ISIN: US0311621009
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Dr. Wanda M. Austin Mgmt For For
1b. Election of Director: Mr. Robert A. Bradway Mgmt For For
1c. Election of Director: Dr. Brian J. Druker Mgmt For For
1d. Election of Director: Mr. Robert A. Eckert Mgmt For For
1e. Election of Director: Mr. Greg C. Garland Mgmt For For
1f. Election of Director: Mr. Fred Hassan Mgmt For For
1g. Election of Director: Dr. Rebecca M. Mgmt For For
Henderson
1h. Election of Director: Mr. Charles M. Mgmt For For
Holley, Jr.
1i. Election of Director: Dr. Tyler Jacks Mgmt For For
1j. Election of Director: Ms. Ellen J. Kullman Mgmt For For
1k. Election of Director: Dr. Ronald D. Sugar Mgmt For For
1l. Election of Director: Dr. R. Sanders Mgmt For For
Williams
2. Advisory vote to approve our executive Mgmt For For
compensation.
3. To ratify the selection of Ernst & Young Mgmt For For
LLP as our independent registered public
accountants for the fiscal year ending
December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
AMICUS THERAPEUTICS, INC. Agenda Number: 935023767
--------------------------------------------------------------------------------------------------------------------------
Security: 03152W109
Meeting Type: Annual
Meeting Date: 27-Jun-2019
Ticker: FOLD
ISIN: US03152W1099
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
John F. Crowley Mgmt For For
Margaret G. McGlynn Mgmt For For
Michael G. Raab Mgmt For For
Glenn P. Sblendorio Mgmt For For
2. Approval of the Amended and Restated 2007 Mgmt For For
Equity Incentive Plan to add 7,000,000
shares to the equity pool.
3. Ratify the appointment of Ernst & Young LLP Mgmt For For
as the Company's independent registered
public accounting firm for the fiscal year
ending December 31, 2019.
4. Approval, on an advisory basis, the Mgmt For For
Company's executive compensation.
--------------------------------------------------------------------------------------------------------------------------
ANTHEM, INC. Agenda Number: 934964429
--------------------------------------------------------------------------------------------------------------------------
Security: 036752103
Meeting Type: Annual
Meeting Date: 15-May-2019
Ticker: ANTM
ISIN: US0367521038
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of Director Nominee: Bahija Jallal Mgmt For For
1.2 Election of Director Nominee: Elizabeth E. Mgmt For For
Tallett
2. To ratify the appointment of Ernst & Young Mgmt For For
LLP as the independent registered public
accounting firm for 2019.
3. Advisory vote to approve the compensation Mgmt For For
of our named executive officers.
4. To approve proposed amendments to our Mgmt For For
Articles of Incorporation to eliminate the
classified board structure when permitted
under our contractual obligations with the
Blue Cross and Blue Shield Association.
5. Shareholder proposal to elect each director Shr Against
annually.
--------------------------------------------------------------------------------------------------------------------------
ASCENDIS PHARMA A S Agenda Number: 935023375
--------------------------------------------------------------------------------------------------------------------------
Security: 04351P101
Meeting Type: Annual
Meeting Date: 29-May-2019
Ticker: ASND
ISIN: US04351P1012
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Election of Chairman of the Meeting Mgmt For For
2. Report on the Company's Activities during Mgmt For For
the Past Year
3. Presentation of Audited Annual Report with Mgmt For For
Auditor's Statement for Approval and
Discharge of the Board of Directors and
Management
4. Resolution on Application of Profits or Mgmt For For
Covering of Losses as per the Adopted
Annual Report
5a. Election of Board Member Class I, with a Mgmt For For
term expiring at the annual general meeting
to be held in 2021: James I. Healy
5b. Election of Board Member Class I, with a Mgmt For For
term expiring at the annual general meeting
to be held in 2021: Jan Moller Mikkelsen
5c. Election of Board Member Class I, with a Mgmt For For
term expiring at the annual general meeting
to be held in 2021: Lisa Morrison
5d. Election of Board Member Class I, with a Mgmt For For
term expiring at the annual general meeting
to be held in 2021: Michael Wolff Jensen
6. Election of State-authorized Public Auditor Mgmt For For
7A. The Board of Directors proposes to amend Mgmt For For
the Articles of Association by renewing the
existing authorization in article 4d(1)
that authorize to the Board of Directors to
increase the company's share capital at one
or more times by up to nominal 9,000,000
with pre-emptive subscription rights for
the company's shareholders.
7B. The Board of Directors proposes to amend Mgmt For For
the Articles of Association by renewing and
amending the existing authorization in
article 4d(2) that authorize the Board of
Directors to increase the company's share
capital at one or more times by up to
nominal 9,000,000 without pre-emptive
subscription rights for the company's
shareholders.
7C. The Board of Directors proposes to amend Mgmt For For
the Articles of Association by renewing and
amending the existing authorization in
article 4e that authorize the Board of
Directors to issue convertible bonds which
gives the right to subscribe for shares in
the Company by a nominal value at up to
9,000,000.
--------------------------------------------------------------------------------------------------------------------------
ASTRAZENECA PLC Agenda Number: 934956434
--------------------------------------------------------------------------------------------------------------------------
Security: 046353108
Meeting Type: Annual
Meeting Date: 26-Apr-2019
Ticker: AZN
ISIN: US0463531089
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To receive the Company's Accounts, the Mgmt For For
Reports of the Directors and Auditor and
the Strategic Report for the year ended 31
December 2018
2. To confirm dividends Mgmt For For
3. To reappoint PricewaterhouseCoopers LLP as Mgmt For For
Auditor
4. To authorise the Directors to agree the Mgmt For For
remuneration of the Auditor
5a. To elect or re-elect of the Director: Leif Mgmt For For
Johansson
5b. To elect or re-elect of the Director: Mgmt For For
Pascal Soriot
5c. To elect or re-elect of the Director: Marc Mgmt For For
Dunoyer
5d. To elect or re-elect of the Director: Mgmt For For
Genevieve Berger
5e. To elect or re-elect of the Director: Mgmt For For
Philip Broadley
5f. To elect or re-elect of the Director: Mgmt For For
Graham Chipchase
5g. To elect or re-elect of the Director: Mgmt For For
Deborah DiSanzo
5h. To elect or re-elect of the Director: Sheri Mgmt For For
McCoy
5i. To elect or re-elect of the Director: Tony Mgmt For For
Mok
5j. To elect or re-elect of the Director: Mgmt For For
Nazneen Rahman
5k. To elect or re-elect of the Director: Mgmt For For
Marcus Wallenberg
6. To approve the Annual Report on Mgmt For For
Remuneration for the year ended 31 December
2018
7. To authorise limited political donations Mgmt For For
8. To authorise the Directors to allot shares Mgmt For For
9. To authorise the Directors to disapply Mgmt For For
pre-emption rights
10. To authorise the Directors to further Mgmt For For
disapply pre-emption rights for
acquisitions and specified capital
investments
11. To authorise the Company to purchase its Mgmt For For
own shares
12. To reduce the notice period for general Mgmt For For
meetings
--------------------------------------------------------------------------------------------------------------------------
BIO-RAD LABORATORIES, INC. Agenda Number: 934985904
--------------------------------------------------------------------------------------------------------------------------
Security: 090572207
Meeting Type: Annual
Meeting Date: 29-Apr-2019
Ticker: BIO
ISIN: US0905722072
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of Director: Arnold A. Pinkston Mgmt For For
1.2 Election of Director: Melinda Litherland Mgmt For For
2. PROPOSAL to ratify the selection of KPMG Mgmt For For
LLP to serve as the Company's independent
auditors.
--------------------------------------------------------------------------------------------------------------------------
BIOMARIN PHARMACEUTICAL INC. Agenda Number: 934995070
--------------------------------------------------------------------------------------------------------------------------
Security: 09061G101
Meeting Type: Annual
Meeting Date: 04-Jun-2019
Ticker: BMRN
ISIN: US09061G1013
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Jean-Jacques Bienaime Mgmt For For
Willard Dere Mgmt For For
Michael Grey Mgmt For For
Elaine J. Heron Mgmt For For
Robert J. Hombach Mgmt For For
V. Bryan Lawlis Mgmt For For
Alan J. Lewis Mgmt For For
Richard A. Meier Mgmt For For
David E.I. Pyott Mgmt For For
Dennis J. Slamon Mgmt For For
2. To ratify the selection of KPMG LLP as the Mgmt For For
independent registered public accounting
firm for BioMarin for the fiscal year
ending December 31, 2019.
3. To approve, on an advisory basis, the Mgmt For For
compensation of the Company's Named
Executive Officers as disclosed in the
Proxy Statement.
4. To approve an amendment to the 2017 Equity Mgmt For For
Incentive Plan.
5. To approve amendments to the Amended and Mgmt For For
Restated 2006 Employee Stock Purchase Plan.
--------------------------------------------------------------------------------------------------------------------------
CENTENE CORPORATION Agenda Number: 934917723
--------------------------------------------------------------------------------------------------------------------------
Security: 15135B101
Meeting Type: Special
Meeting Date: 28-Jan-2019
Ticker: CNC
ISIN: US15135B1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approval of an Amendment to the Company's Mgmt For For
Certificate of Incorporation to Increase
the Number of Authorized Shares of Common
Stock.
--------------------------------------------------------------------------------------------------------------------------
CENTENE CORPORATION Agenda Number: 934937927
--------------------------------------------------------------------------------------------------------------------------
Security: 15135B101
Meeting Type: Annual
Meeting Date: 23-Apr-2019
Ticker: CNC
ISIN: US15135B1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Orlando Ayala Mgmt For For
1B. Election of Director: John R. Roberts Mgmt For For
1C. Election of Director: Tommy G. Thompson Mgmt For For
2. ADVISORY RESOLUTION TO APPROVE EXECUTIVE Mgmt Against Against
COMPENSATION.
3. RATIFICATION OF APPOINTMENT OF KPMG LLP AS Mgmt For For
OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2019.
4. THE STOCKHOLDER PROPOSAL REQUESTING Shr Against For
POLITICAL SPENDING DISCLOSURES AS DESCRIBED
IN THE PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------
CIGNA CORPORATION Agenda Number: 934945900
--------------------------------------------------------------------------------------------------------------------------
Security: 125523100
Meeting Type: Annual
Meeting Date: 24-Apr-2019
Ticker: CI
ISIN: US1255231003
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: David M. Cordani Mgmt For For
1b. Election of Director: William J. DeLaney Mgmt For For
1c. Election of Director: Eric J. Foss Mgmt For For
1d. Election of Director: Elder Granger, MD, Mgmt For For
MG, USA
1e. Election of Director: Isaiah Harris, Jr. Mgmt For For
1f. Election of Director: Roman Martinez IV Mgmt For For
1g. Election of Director: Kathleen M. Mgmt For For
Mazzarella
1h. Election of Director: Mark B. McClellan, Mgmt For For
MD, PhD
1i. Election of Director: John M. Partridge Mgmt For For
1j. Election of Director: William L. Roper, MD, Mgmt For For
MPH
1k. Election of Director: Eric C. Wiseman Mgmt For For
1l. Election of Director: Donna F. Zarcone Mgmt For For
1m. Election of Director: William D. Zollars Mgmt For For
2. Advisory approval of Cigna's executive Mgmt For For
compensation.
3. Ratification of appointment of Mgmt For For
PricewaterhouseCoopers LLP as Cigna's
independent registered public accounting
firm for 2019.
4. Shareholder proposal - Increase shareholder Shr For Against
rights to include action by written
consent.
5. Shareholder proposal - Cyber risk report Shr Against For
6. Shareholder proposal - Gender pay gap Shr Against For
report
--------------------------------------------------------------------------------------------------------------------------
COHERUS BIOSCIENCES INC Agenda Number: 934983695
--------------------------------------------------------------------------------------------------------------------------
Security: 19249H103
Meeting Type: Annual
Meeting Date: 22-May-2019
Ticker: CHRS
ISIN: US19249H1032
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Samuel Nussbaum, M.D. Mgmt For For
Mary T. Szela Mgmt For For
Ali J. Satvat Mgmt For For
2. To ratify the appointment of Ernst & Young Mgmt For For
LLP as our independent registered public
accounting firm for the fiscal year ending
December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
COLLEGIUM PHARMACEUTICAL, INC. Agenda Number: 934946344
--------------------------------------------------------------------------------------------------------------------------
Security: 19459J104
Meeting Type: Annual
Meeting Date: 25-Apr-2019
Ticker: COLL
ISIN: US19459J1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A Election of Class I Director to hold office Mgmt For For
until the 2022 Annual Meeting: John A.
Fallon, M.D.
1B Election of Class I Director to hold office Mgmt For For
until the 2022 Annual Meeting: John G.
Freund, M.D.
1C Election of Class I Director to hold office Mgmt For For
until the 2022 Annual Meeting: David
Hirsch, M.D., Ph.D.
1D Election of Class II Director to hold Mgmt For For
office until the 2020 Annual Meeting:
Joseph Ciaffoni
2. Approval of, on an advisory basis, the Mgmt For For
compensation of the Company's named
executive officers
3. Indication of, on an advisory basis, the Mgmt 1 Year For
preferred frequency of future shareholder
advisory votes on the compensation of the
Company's named executive officers
4. Ratification of Deloitte & Touche LLP as Mgmt For For
the Company's independent registered public
accounting firm for the fiscal year ending
December 31, 2019
--------------------------------------------------------------------------------------------------------------------------
CVS HEALTH CORPORATION Agenda Number: 934964203
--------------------------------------------------------------------------------------------------------------------------
Security: 126650100
Meeting Type: Annual
Meeting Date: 16-May-2019
Ticker: CVS
ISIN: US1266501006
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Fernando Aguirre Mgmt For For
1b. Election of Director: Mark T. Bertolini Mgmt For For
1c. Election of Director: Richard M. Bracken Mgmt For For
1d. Election of Director: C. David Brown II Mgmt For For
1e. Election of Director: Alecia A. DeCoudreaux Mgmt For For
1f. Election of Director: Nancy-Ann M. DeParle Mgmt For For
1g. Election of Director: David W. Dorman Mgmt For For
1h. Election of Director: Roger N. Farah Mgmt For For
1i. Election of Director: Anne M. Finucane Mgmt For For
1j. Election of Director: Edward J. Ludwig Mgmt For For
1k. Election of Director: Larry J. Merlo Mgmt For For
1l. Election of Director: Jean-Pierre Millon Mgmt For For
1m. Election of Director: Mary L. Schapiro Mgmt For For
1n. Election of Director: Richard J. Swift Mgmt For For
1o. Election of Director: William C. Weldon Mgmt For For
1p. Election of Director: Tony L. White Mgmt For For
2. Proposal to ratify appointment of Mgmt For For
independent registered public accounting
firm for 2019.
3. Say on Pay, a proposal to approve, on an Mgmt For For
advisory basis, the Company's executive
compensation.
4. Stockholder proposal regarding exclusion of Shr For Against
legal or compliance costs from financial
performance adjustments for executive
compensation.
--------------------------------------------------------------------------------------------------------------------------
ENDOCYTE INC Agenda Number: 934904714
--------------------------------------------------------------------------------------------------------------------------
Security: 29269A102
Meeting Type: Special
Meeting Date: 20-Dec-2018
Ticker: ECYT
ISIN: US29269A1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated as of October 17, 2018 (as it may be
amended from time to time, the "merger
agreement"), by and among Novartis AG,
Edinburgh Merger Corporation ("Merger Sub")
and Endocyte, Inc., pursuant to which
Merger Sub will be merged with and into
Endocyte, Inc., with Endocyte, Inc.
continuing as a wholly owned subsidiary of
Novartis AG (the "merger").
2. To approve, on an advisory (non-binding) Mgmt Against Against
basis, certain compensation that may be
paid or become payable to Endocyte Inc.'s
named executive officers in connection with
the merger.
3. To approve the adjournment of the special Mgmt For For
meeting, if necessary or appropriate,
including to solicit additional proxies if
there are insufficient votes at the time of
the special meeting to approve the proposal
to adopt the merger agreement.
--------------------------------------------------------------------------------------------------------------------------
ENVISION HEALTHCARE CORPORATION Agenda Number: 934868374
--------------------------------------------------------------------------------------------------------------------------
Security: 29414D100
Meeting Type: Annual
Meeting Date: 11-Sep-2018
Ticker: EVHC
ISIN: US29414D1000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated as of June 10, 2018 (as it may be
amended from time to time, the "merger
agreement"), by and among Envision
Healthcare Corporation, a Delaware
corporation ("Envision" or the "Company"),
Enterprise Parent Holdings Inc., a Delaware
corporation ("Parent") and Enterprise
Merger Sub Inc., an indirect wholly owned
subsidiary of Parent (the "Merger Sub"),
pursuant to which Merger Sub will be merged
with and into the Company (the "merger").
2. To approve, on an advisory (non-binding) Mgmt Against Against
basis, certain compensation that may be
paid or become payable to Envision's named
executive officers in connection with the
merger.
3. To approve the adjournment of the annual Mgmt For For
meeting, if necessary or appropriate,
including to solicit additional proxies if
there are insufficient votes at the time of
the annual meeting to approve the proposal
to adopt the merger agreement or in the
absence of a quorum.
4A. Election of Class II Director: John T. Mgmt For For
Gawaluck
4B. Election of Class II Director: Joey A. Mgmt For For
Jacobs
4C. Election of Class II Director: Kevin P. Mgmt For For
Lavender
4D. Election of Class II Director: Leonard M. Mgmt For For
Riggs, Jr., M.D.
5. To amend Envision's Second Amended and Mgmt For For
Restated Certificate of Incorporation,
dated December 1, 2016 to declassify the
Board of Directors and to eliminate the
Series A-1 Mandatory Convertible Preferred
Stock.
6. To approve, on an advisory (non-binding) Mgmt For For
basis, of the compensation of Envision's
named executive officers.
7. To ratify the appointment of Deloitte & Mgmt For For
Touche LLP as Envision Healthcare
Corporation's independent registered public
accounting firm for the year ending
December 31, 2018.
--------------------------------------------------------------------------------------------------------------------------
ESTABLISHMENT LABS HOLDINGS INC. Agenda Number: 935004971
--------------------------------------------------------------------------------------------------------------------------
Security: G31249108
Meeting Type: Annual
Meeting Date: 03-Jun-2019
Ticker: ESTA
ISIN: VGG312491084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Juan Jose Chacon Mgmt For For
Quiros
1b. Election of Director: Edward Schutter Mgmt For For
1c. Election of Director: Nicholas Lewin Mgmt For For
2. The ratification of Marcum LLP as the Mgmt For For
independent public accounting firm for the
fiscal year ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
EVOLENT HEALTH, INC. Agenda Number: 935015431
--------------------------------------------------------------------------------------------------------------------------
Security: 30050B101
Meeting Type: Annual
Meeting Date: 11-Jun-2019
Ticker: EVH
ISIN: US30050B1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Class I Director: Seth Blackley Mgmt For For
1b. Election of Class I Director: David Farner Mgmt For For
2. Proposal to ratify the appointment of Mgmt For For
Deloitte & Touche LLP as our independent
registered public accounting firm for the
fiscal year ending December 31, 2019.
3. Proposal to approve the compensation of our Mgmt For For
named executive officers for 2018 on an
advisory basis.
--------------------------------------------------------------------------------------------------------------------------
EVOLUS, INC. Agenda Number: 935016926
--------------------------------------------------------------------------------------------------------------------------
Security: 30052C107
Meeting Type: Annual
Meeting Date: 10-Jun-2019
Ticker: EOLS
ISIN: US30052C1071
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
David Gill Mgmt For For
Robert Hayman Mgmt For For
2. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as Evolus' independent auditor
for the year ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
EYEPOINT PHARMACEUTICALS INC Agenda Number: 935022979
--------------------------------------------------------------------------------------------------------------------------
Security: 30233G100
Meeting Type: Annual
Meeting Date: 25-Jun-2019
Ticker: EYPT
ISIN: US30233G1004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Goran Ando Mgmt For For
Nancy Lurker Mgmt For For
David J. Mazzo Mgmt For For
Douglas Godshall Mgmt For For
Jay Duker Mgmt For For
Kristine Peterson Mgmt For For
Ronald W. Eastman Mgmt Withheld Against
John B. Landis Mgmt For For
David Guyer Mgmt For For
2. Approval of an amendment to the EyePoint Mgmt Against Against
Pharmaceuticals, Inc. 2016 Long-Term
Incentive Plan to increase the number of
shares authorized for issuance by
11,000,000.
3. Approval of the EyePoint Pharmaceuticals, Mgmt For For
Inc. 2019 Employee Stock Purchase Plan.
4. Approval on an advisory basis of Mgmt For For
compensation paid to EyePoint
Pharmaceuticals, Inc.'s named executive
officers.
5. Approval on an advisory basis on the Mgmt 1 Year For
frequency of advisory stockholder votes on
compensation paid to named executive
officers.
6. Ratification of the appointment of Deloitte Mgmt For For
& Touche LLP.
--------------------------------------------------------------------------------------------------------------------------
GLAXOSMITHKLINE PLC Agenda Number: 934979925
--------------------------------------------------------------------------------------------------------------------------
Security: 37733W105
Meeting Type: Annual
Meeting Date: 08-May-2019
Ticker: GSK
ISIN: US37733W1053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
A1 To receive and adopt the 2018 Annual Report Mgmt For For
A2 To approve the Annual report on Mgmt Against Against
remuneration
A3 To elect Iain Mackay as a Director Mgmt For For
A4 To re-elect Philip Hampton as a Director Mgmt For For
A5 To re-elect Emma Walmsley as a Director Mgmt For For
A6 To re-elect Vindi Banga as a Director Mgmt For For
A7 To re-elect Dr Hal Barron as a Director Mgmt For For
A8 To re-elect Dr Vivienne Cox as a Director Mgmt For For
A9 To re-elect Lynn Elsenhans as a Director Mgmt For For
A10 To re-elect Dr Laurie Glimcher as a Mgmt For For
Director
A11 To re-elect Dr Jesse Goodman as a Director Mgmt For For
A12 To re-elect Judy Lewent as a Director Mgmt For For
A13 To re-elect Urs Rohner as a Director Mgmt For For
A14 To re-appoint the auditor Mgmt For For
A15 To determine remuneration of the auditor Mgmt For For
A16 To authorise the company and its Mgmt For For
subsidiaries to make donations to political
organisations and incur political
expenditure
A17 To authorise allotment of shares Mgmt For For
A18 To disapply pre-emption rights - general Mgmt For For
power (special resolution)
A19 To disapply pre-emption rights - in Mgmt For For
connection with an acquisition or specified
capital investment (special resolution)
A20 To authorise the company to purchase its Mgmt For For
own shares (special resolution)
A21 To authorise exemption from statement of Mgmt For For
name of senior statutory auditor
A22 To authorise reduced notice of a general Mgmt For For
meeting other than an AGM (special
resolution)
1 To approve the transaction between Mgmt For For
GlaxoSmithKline plc, GlaxoSmithKline
Consumer Healthcare Holdings Limited and
Pfizer, Inc for the purposes of Chapter 11
of the Listing Rules of the Financial
Conduct Authority
--------------------------------------------------------------------------------------------------------------------------
GLOBAL BLOOD THERAPEUTICS, INC. Agenda Number: 935018867
--------------------------------------------------------------------------------------------------------------------------
Security: 37890U108
Meeting Type: Annual
Meeting Date: 18-Jun-2019
Ticker: GBT
ISIN: US37890U1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Ted Love, M.D. Mgmt For For
Glenn Pierce, M.D Ph.D. Mgmt For For
Dawn Svoronos Mgmt For For
2. Approval, on a non-binding, advisory basis, Mgmt For For
of the compensation of the Company's named
executive officers as disclosed in the
proxy statement.
3. Ratification of the appointment of KPMG LLP Mgmt For For
as the independent registered public
accounting firm of the Company for its
fiscal year ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
HERON THERAPEUTICS, INC. Agenda Number: 935021232
--------------------------------------------------------------------------------------------------------------------------
Security: 427746102
Meeting Type: Annual
Meeting Date: 18-Jun-2019
Ticker: HRTX
ISIN: US4277461020
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A Election of Director: Kevin Tang Mgmt For For
1B Election of Director: Barry Quart, Pharm.D. Mgmt For For
1C Election of Director: Craig Johnson Mgmt For For
1D Election of Director: John Poyhonen Mgmt For For
1E Election of Director: Christian Waage Mgmt For For
2. To ratify the appointment of OUM & Co. LLP Mgmt For For
as the Company's independent registered
public accounting firm for the year ending
December 31, 2019.
3. To approve, on an advisory basis, Mgmt Against Against
compensation paid to the Company's Named
Executive Officers during the year ended
December 31, 2018.
4. To approve, on an advisory basis, the Mgmt 1 Year For
frequency of future advisory votes to
approve compensation paid to the Company's
Named Executive Officers.
5. To amend the Company's 2007 Amended and Mgmt Against Against
Restated Equity Incentive Plan to increase
the number of shares of common stock
authorized for issuance thereunder from
18,800,000 to 25,800,000.
6. To amend the Company's 1997 Employee Stock Mgmt For For
Purchase Plan, as amended to increase the
number of shares of common stock authorized
for issuance thereunder from 475,000 to
775,000.
--------------------------------------------------------------------------------------------------------------------------
HUMANA INC. Agenda Number: 934935694
--------------------------------------------------------------------------------------------------------------------------
Security: 444859102
Meeting Type: Annual
Meeting Date: 18-Apr-2019
Ticker: HUM
ISIN: US4448591028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a) Election of Director: Kurt J. Hilzinger Mgmt For For
1b) Election of Director: Frank J. Bisignano Mgmt For For
1c) Election of Director: Bruce D. Broussard Mgmt For For
1d) Election of Director: Frank A. D'Amelio Mgmt For For
1e) Election of Director: Karen B. DeSalvo, Mgmt For For
M.D.
1f) Election of Director: W. Roy Dunbar Mgmt For For
1g) Election of Director: David A. Jones, Jr. Mgmt For For
1h) Election of Director: William J. McDonald Mgmt For For
1i) Election of Director: James J. O'Brien Mgmt For For
1j) Election of Director: Marissa T. Peterson Mgmt For For
2. The ratification of the appointment of Mgmt For For
PricewaterhouseCoopers LLP as the Company's
independent registered public accounting
firm.
3. The approval of the compensation of the Mgmt For For
named executive officers as disclosed in
the 2019 proxy statement.
4. The approval of the Amended and Restated Mgmt For For
Humana Inc. Stock Incentive Plan.
--------------------------------------------------------------------------------------------------------------------------
INSMED INCORPORATED Agenda Number: 934971640
--------------------------------------------------------------------------------------------------------------------------
Security: 457669307
Meeting Type: Annual
Meeting Date: 16-May-2019
Ticker: INSM
ISIN: US4576693075
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Alfred F. Altomari Mgmt For For
Steinar J. Engelsen, MD Mgmt For For
William H. Lewis Mgmt For For
2. Advisory vote on the 2018 compensation of Mgmt Against Against
our named executive officers.
3. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as the independent registered
public accounting firm for Insmed
Incorporated for the year ending December
31, 2019.
4. Approval of the Insmed Incorporated 2019 Mgmt For For
Incentive Plan.
--------------------------------------------------------------------------------------------------------------------------
LABORATORY CORP. OF AMERICA HOLDINGS Agenda Number: 934966548
--------------------------------------------------------------------------------------------------------------------------
Security: 50540R409
Meeting Type: Annual
Meeting Date: 09-May-2019
Ticker: LH
ISIN: US50540R4092
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Kerrii B. Anderson Mgmt For For
1b. Election of Director: Jean-Luc Belingard Mgmt For For
1c. Election of Director: D. Gary Gilliland, Mgmt For For
M.D., Ph.D.
1d. Election of Director: David P. King Mgmt For For
1e. Election of Director: Garheng Kong, M.D., Mgmt For For
Ph.D.
1f. Election of Director: Peter M. Neupert Mgmt For For
1g. Election of Director: Richelle P. Parham Mgmt For For
1h. Election of Director: Adam H. Schechter Mgmt For For
1i. Election of Director: R. Sanders Williams, Mgmt For For
M.D.
2. To approve, by non-binding vote, executive Mgmt For For
compensation.
3. Ratification of the appointment of Mgmt For For
PricewaterhouseCoopers LLP as Laboratory
Corporation of America Holdings'
independent registered public accounting
firm for 2019.
--------------------------------------------------------------------------------------------------------------------------
MACROGENICS, INC. Agenda Number: 934971575
--------------------------------------------------------------------------------------------------------------------------
Security: 556099109
Meeting Type: Annual
Meeting Date: 16-May-2019
Ticker: MGNX
ISIN: US5560991094
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Paulo Costa Mgmt For For
Karen Ferrante, M.D. Mgmt For For
Edward Hurwitz Mgmt For For
2. To ratify the selection of Ernst & Young Mgmt For For
LLP as the independent registered public
accounting firm of the Company for its
fiscal year ending December 31, 2019.
3. To approve, on an advisory basis, the Mgmt For For
compensation of the Company's named
executive officers as disclosed in the
proxy materials.
--------------------------------------------------------------------------------------------------------------------------
MERCK & CO., INC. Agenda Number: 934988328
--------------------------------------------------------------------------------------------------------------------------
Security: 58933Y105
Meeting Type: Annual
Meeting Date: 28-May-2019
Ticker: MRK
ISIN: US58933Y1055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Leslie A. Brun Mgmt For For
1b. Election of Director: Thomas R. Cech Mgmt For For
1c. Election of Director: Mary Ellen Coe Mgmt For For
1d. Election of Director: Pamela J. Craig Mgmt For For
1e. Election of Director: Kenneth C. Frazier Mgmt For For
1f. Election of Director: Thomas H. Glocer Mgmt For For
1g. Election of Director: Rochelle B. Lazarus Mgmt For For
1h. Election of Director: Paul B. Rothman Mgmt For For
1i. Election of Director: Patricia F. Russo Mgmt For For
1j. Election of Director: Inge G. Thulin Mgmt For For
1k. Election of Director: Wendell P. Weeks Mgmt For For
1l. Election of Director: Peter C. Wendell Mgmt For For
2. Non-binding advisory vote to approve the Mgmt For For
compensation of our named executive
officers.
3. Proposal to adopt the 2019 Incentive Stock Mgmt For For
Plan.
4. Ratification of the appointment of the Mgmt For For
Company's independent registered public
accounting firm for 2019.
5. Shareholder proposal concerning an Shr Against For
independent board chairman.
6. Shareholder proposal concerning executive Shr Against For
incentives and stock buybacks.
7. Shareholder proposal concerning drug Shr Against For
pricing.
--------------------------------------------------------------------------------------------------------------------------
MINERVA NEUROSCIENCES, INC. Agenda Number: 934991236
--------------------------------------------------------------------------------------------------------------------------
Security: 603380106
Meeting Type: Annual
Meeting Date: 31-May-2019
Ticker: NERV
ISIN: US6033801068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Dr. Remy Luthringer Mgmt For For
Dr. Fouzia L. Thode Mgmt For For
Jeryl Hilleman Mgmt For For
2. To ratify the appointment of Deloitte & Mgmt For For
Touche LLP as the Company's independent
registered public accounting firm for the
fiscal year ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
NOVARTIS AG Agenda Number: 934927003
--------------------------------------------------------------------------------------------------------------------------
Security: 66987V109
Meeting Type: Annual
Meeting Date: 28-Feb-2019
Ticker: NVS
ISIN: US66987V1098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approval of the Operating and Financial Mgmt For For
Review of Novartis AG, the Financial
Statements of Novartis AG and the Group
Consolidated Financial Statements for the
2018 Financial Year
2. Discharge from Liability of the Members of Mgmt For For
the Board of Directors and the Executive
Committee
3. Appropriation of Available Earnings of Mgmt For For
Novartis AG as per Balance Sheet and
Declaration of Dividend
4. Reduction of Share Capital Mgmt For For
5. Further Share Repurchase Program Mgmt For For
6. Special Distribution by Way of a Dividend Mgmt For For
in Kind to Effect the Spin-off of Alcon
Inc.
7a. Votes on Compensation for the Members of Mgmt For For
the Board of Directors and the Executive
Committee: Binding Vote on the Maximum
Aggregate Amount of Compensation for
Members of the Board of Directors from the
2019 Annual General Meeting to the 2020
Annual General Meeting
7b. Votes on Compensation for the Members of Mgmt For For
the Board of Directors and the Executive
Committee: Binding Vote on the Maximum
Aggregate Amount of Compensation for
Members of the Executive Committee for the
next Financial Year, i.e. 2020
7c. Votes on Compensation for the Members of Mgmt For For
the Board of Directors and the Executive
Committee: Advisory Vote on the 2018
Compensation Report
8a. Re-election of Joerg Reinhardt, Ph.D., and Mgmt For For
re-election as Chairman of the Board of
Directors (in a single vote)
8b. Re-election of Director: Nancy C. Andrews, Mgmt For For
M.D., Ph.D.
8c. Re-election of Director: Ton Buechner Mgmt For For
8d. Re-election of Director: Srikant Datar, Mgmt For For
Ph.D.
8e. Re-election of Director: Elizabeth Doherty Mgmt For For
8f. Re-election of Director: Ann Fudge Mgmt For For
8g. Re-election of Director: Frans van Houten Mgmt For For
8h. Re-election of Director: Andreas von Mgmt For For
Planta, Ph.D.
8i. Re-election of Director: Charles L. Mgmt For For
Sawyers, M.D.
8j. Re-election of Director: Enrico Vanni, Mgmt For For
Ph.D.
8k. Re-election of Director: William T. Winters Mgmt For For
8l. Election of Director: Patrice Bula Mgmt For For
9a. Re-election of Srikant Datar, Ph.D., as Mgmt For For
member of the Compensation Committee
9b. Re-election of Ann Fudge as member of the Mgmt For For
Compensation Committee
9c. Re-election of Enrico Vanni, Ph.D., as Mgmt For For
member of the Compensation Committee
9d. Re-election of William T. Winters as member Mgmt For For
of the Compensation Committee
9e. Election of Patrice Bula as member of the Mgmt For For
Compensation Committee
10. Re-election of the Statutory Auditor Mgmt For For
11. Re-election of the Independent Proxy Mgmt For For
12. General instructions in case of alternative Mgmt Against
motions under the agenda items published in
the Notice of Annual General Meeting,
and/or of motions relating to additional
agenda items according to Article 700
paragraph 3 of the Swiss Code of
Obligations.
--------------------------------------------------------------------------------------------------------------------------
PACIRA BIOSCIENCES, INC. Agenda Number: 935004008
--------------------------------------------------------------------------------------------------------------------------
Security: 695127100
Meeting Type: Annual
Meeting Date: 04-Jun-2019
Ticker: PCRX
ISIN: US6951271005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Paul Hastings Mgmt For For
John Longenecker Mgmt For For
Andreas Wicki Mgmt For For
2. Ratification of the appointment of KPMG LLP Mgmt For For
as our independent registered public
accounting firm for the fiscal year ending
December 31, 2019.
3. Advisory vote to approve the compensation Mgmt For For
of our named executive officers.
4. Advisory vote on the frequency of future Mgmt 1 Year For
advisory votes to approve the compensation
of our named executive officers.
5. Approval of the Amended and Restated 2011 Mgmt Against Against
Stock Incentive Plan
--------------------------------------------------------------------------------------------------------------------------
PARATEK PHARMACEUTICALS, INC. Agenda Number: 935012411
--------------------------------------------------------------------------------------------------------------------------
Security: 699374302
Meeting Type: Annual
Meeting Date: 12-Jun-2019
Ticker: PRTK
ISIN: US6993743029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Thomas J. Dietz, Ph.D. Mgmt For For
Timothy R. Franson, M.D Mgmt For For
Evan Loh, M.D. Mgmt For For
2. To ratify the selection by the Audit Mgmt For For
Committee of the Board of Directors of
Ernst & Young LLP as our independent
registered public accounting firm for the
year ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
PORTOLA PHARMACEUTICALS, INC. Agenda Number: 935007371
--------------------------------------------------------------------------------------------------------------------------
Security: 737010108
Meeting Type: Annual
Meeting Date: 13-Jun-2019
Ticker: PTLA
ISIN: US7370101088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Laura Brege Mgmt For For
Scott Garland Mgmt For For
Hollings Renton Mgmt For For
2. To approve, on an advisory basis, the Mgmt For For
compensation of the Company's named
executive officers, as disclosed in this
proxy statement.
3. To ratify the selection of Ernst & Young Mgmt For For
LLP as the Company's independent registered
public accounting firm for the fiscal year
ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
SAGE THERAPEUTICS, INC. Agenda Number: 935003866
--------------------------------------------------------------------------------------------------------------------------
Security: 78667J108
Meeting Type: Annual
Meeting Date: 05-Jun-2019
Ticker: SAGE
ISIN: US78667J1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Kevin P. Starr Mgmt For For
James M. Frates Mgmt For For
George Golumbeski, Ph.D Mgmt For For
2. To ratify the appointment of Mgmt For For
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for the fiscal year ending December
31, 2019.
3. To hold a non binding advisory vote to Mgmt For For
approve the compensation paid to our named
executive officers.
--------------------------------------------------------------------------------------------------------------------------
SHIRE PLC Agenda Number: 934899622
--------------------------------------------------------------------------------------------------------------------------
Security: 82481R106
Meeting Type: Special
Meeting Date: 05-Dec-2018
Ticker: SHPG
ISIN: US82481R1068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the Scheme of Arrangement. Mgmt For For
2. Special Resolution: THAT for the purpose of Mgmt For For
giving effect to the Scheme of Arrangement:
(1) the Board of Directors of the Company
(the "Board") be authorized to take all
such action as they may consider necessary
or appropriate for carrying the Scheme of
Arrangement into effect, (2) the articles
of association of the Company be amended by
the adoption and inclusion of a new Article
154 and (3) conditional upon and with
effect from the sanctioning of the Scheme
of Arrangement ...(due to space limits, see
proxy material for full proposal).
--------------------------------------------------------------------------------------------------------------------------
SSGA FUNDS Agenda Number: 934897123
--------------------------------------------------------------------------------------------------------------------------
Security: 857492706
Meeting Type: Special
Meeting Date: 18-Dec-2018
Ticker: GVMXX
ISIN: US8574927062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. DIRECTOR
John R. Costantino Mgmt For For
Michael A. Jessee Mgmt For For
Ellen M. Needham Mgmt For For
Donna M. Rapaccioli Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
STEADYMED LTD. Agenda Number: 934854111
--------------------------------------------------------------------------------------------------------------------------
Security: M84920103
Meeting Type: Special
Meeting Date: 30-Jul-2018
Ticker: STDY
ISIN: IL0011348997
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the Agreement and Plan of Mgmt For For
Merger, dated as of April 29, 2018, by and
among SteadyMed Ltd., United Therapeutics
Corporation, and Daniel 24043 Acquisition
Corp. Ltd., the terms of the merger
contemplated thereby, and all other
documents, agreements and transactions
contemplated under or related thereto,
including the Contingent Value Rights
Agreement attached thereto and the warrant
amendments between Messrs. Brian J. Stark,
Keith Bank, Ron Ginor, each a director of
the Company, and/or their affiliates, and
the Company.
1a. Confirm that you are not Parent, Merger Mgmt For
Sub, any person holding at least 25% of the
means of control of Merger Sub, anyone
acting on their behalf, or any relative or
corporation controlled by, any of the
foregoing. Please confirm you are not a
parent, merger sub or have a personal
interest If you vote AGAINST or ABSTAIN
your vote will not count for Proposal 1.
1b. Confirm that you do not have a Personal Mgmt Against
Interest in the approval of Proposal 1.
Please confirm you are not a parent, merger
sub or have a personal interest If you
vote AGAINST or ABSTAIN your vote will not
count for Proposal 1
2. To approve, on a non-binding, advisory Mgmt For For
basis, certain compensation that will be
paid or may become payable to SteadyMed
Ltd.'s named executive officers in
connection with the Transaction.
--------------------------------------------------------------------------------------------------------------------------
TAKEDA PHARMACEUTICAL CO LTD Agenda Number: 935047351
--------------------------------------------------------------------------------------------------------------------------
Security: 874060205
Meeting Type: Annual
Meeting Date: 27-Jun-2019
Ticker: TAK
ISIN: US8740602052
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 Appropriation of Surplus Mgmt For
2A Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Christophe
Weber
2B Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Masato
Iwasaki
2C Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Andrew Plump
2D Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Constantine
Saroukos
2E Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Masahiro
Sakane
2F Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Olivier
Bohuon
2G Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Ian Clark
2H Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Yoshiaki
Fujimori
2I Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Steven Gillis
2J Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Toshiyuki
Shiga
2K Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Jean-Luc
Butel
2L Election of Director who are not Audit and Mgmt For
Supervisory Committee Member: Shiro Kuniya
3.1 Election of Director who are Audit and Mgmt For
Supervisory Committee Member: Emiko Higashi
3.2 Election of Director who are Audit and Mgmt For
Supervisory Committee Member: Michel
Orsinger
4 Revisions Pertaining to the Amount and the Mgmt For
Contents of Stock Compensation, etc. for
Directors who are not Audit and Supervisory
Committee Members
5 Revisions Pertaining to the Contents of Mgmt For
Stock Compensation, etc. for Directors who
are Audit and Supervisory Committee Members
6 Payment of Bonuses to Directors who are not Mgmt For
Audit and Supervisory Committee Members
7 Partial Amendment to the Articles of Mgmt For
Incorporation (Individual disclosure of the
directors' compensation)
8 Partial Amendment to the Articles of Mgmt For
Incorporation (Adoption of a clawback
clause)
--------------------------------------------------------------------------------------------------------------------------
TAKEDA PHARMACEUTICAL COMPANY LIMITED Agenda Number: 710203061
--------------------------------------------------------------------------------------------------------------------------
Security: J8129E108
Meeting Type: EGM
Meeting Date: 05-Dec-2018
Ticker:
ISIN: JP3463000004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
Please reference meeting materials. Non-Voting
1 Approve Delegation of Authority to the Mgmt For For
Board of Directors to Determine Details of
Issuance of New Shares to Implement the
Proposed Acquisition of Shire
2.1 Appoint a Director except as Supervisory Mgmt For For
Committee Members Ian Clark
2.2 Appoint a Director except as Supervisory Mgmt For For
Committee Members Olivier Bohuon
2.3 Appoint a Director except as Supervisory Mgmt For For
Committee Members Steven Gillis
--------------------------------------------------------------------------------------------------------------------------
TAKEDA PHARMACEUTICAL COMPANY LIMITED Agenda Number: 711256417
--------------------------------------------------------------------------------------------------------------------------
Security: J8129E108
Meeting Type: AGM
Meeting Date: 27-Jun-2019
Ticker:
ISIN: JP3463000004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
Please reference meeting materials. Non-Voting
1 Approve Appropriation of Surplus Mgmt For For
2.1 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Christophe
Weber
2.2 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Iwasaki,
Masato
2.3 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Andrew Plump
2.4 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Constantine
Saroukos
2.5 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Sakane,
Masahiro
2.6 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Olivier Bohuon
2.7 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Ian Clark
2.8 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Fujimori,
Yoshiaki
2.9 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Steven Gillis
2.10 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Shiga,
Toshiyuki
2.11 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Jean-Luc Butel
2.12 Appoint a Director who is not Audit and Mgmt For For
Supervisory Committee Member Kuniya, Shiro
3.1 Appoint a Director who is Audit and Mgmt For For
Supervisory Committee Member Higashi, Emiko
3.2 Appoint a Director who is Audit and Mgmt For For
Supervisory Committee Member Michel
Orsinger
4 Approve Details of the Stock Compensation Mgmt For For
to be received by Directors (Excluding
Directors who are Audit and Supervisory
Committee Members)
5 Approve Details of the Stock Compensation Mgmt For For
to be received by Directors who are Audit
and Supervisory Committee Members
6 Approve Payment of Bonuses to Directors Mgmt For For
(Excluding Directors who are Audit and
Supervisory Committee Members)
7 Shareholder Proposal: Amend Articles of Shr For Against
Incorporation (Individual disclosure of the
directors' compensation)
8 Shareholder Proposal: Amend Articles of Shr For Against
Incorporation (Adoption of a clawback
clause)
--------------------------------------------------------------------------------------------------------------------------
TELADOC HEALTH, INC. Agenda Number: 934988253
--------------------------------------------------------------------------------------------------------------------------
Security: 87918A105
Meeting Type: Annual
Meeting Date: 30-May-2019
Ticker: TDOC
ISIN: US87918A1051
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Ms. Helen Darling Mgmt For For
Mr. William H. Frist MD Mgmt For For
Mr. Michael Goldstein Mgmt For For
Mr. Jason Gorevic Mgmt For For
Mr. Brian McAndrews Mgmt For For
Mr. Thomas G. McKinley Mgmt For For
Mr. Arneek Multani Mgmt For For
Mr. Kenneth H. Paulus Mgmt For For
Mr. David Shedlarz Mgmt For For
Mr. David B. Snow, Jr. Mgmt For For
Mr. Mark D. Smith, MD Mgmt For For
2. Approve, on an advisory basis, the Mgmt For For
compensation of Teladoc Health's named
executive officers.
3. Ratify the appointment of Ernst & Young LLP Mgmt For For
as Teladoc Health's independent registered
public accounting firm for the fiscal year
ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
ZOGENIX, INC. Agenda Number: 934984801
--------------------------------------------------------------------------------------------------------------------------
Security: 98978L204
Meeting Type: Annual
Meeting Date: 22-May-2019
Ticker: ZGNX
ISIN: US98978L2043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Erle T. Mast Mgmt For For
1B. Election of Director: Renee P. Tannenbaum, Mgmt For For
Pharm D.
2. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as our independent registered
public accounting firm for the year ending
December 31, 2019.
3. Approval, on an advisory basis, of the Mgmt Against Against
compensation of the named executive
officers as disclosed in the proxy
statement pursuant to the compensation
disclosure rules of the Securities and
Exchange Commission.
4. Approval of an amendment to the Company's Mgmt For For
Amended and Restated Certificate of
Incorporation to increase the authorized
number of shares of common stock from
50,000,000 to 100,000,000.
5. Approval of an amendment and restatement of Mgmt Against Against
the Company's 2010 Equity Incentive Award
Plan.
Highland Merger Arbitrage Fund
--------------------------------------------------------------------------------------------------------------------------
ANDEAVOR Agenda Number: 934865948
--------------------------------------------------------------------------------------------------------------------------
Security: 03349M105
Meeting Type: Special
Meeting Date: 24-Sep-2018
Ticker: ANDV
ISIN: US03349M1053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated as of April 29, 2018, among Andeavor,
Marathon Petroleum Corporation, Mahi Inc.
and Mahi LLC, as such agreement may be
amended from time to time, which is
referred to as the merger agreement.
2. To approve, by a non-binding advisory vote, Mgmt For For
certain compensation that may be paid or
become payable to Andeavor's named
executive officers that is based on or
otherwise relates to the merger
contemplated by the merger agreement.
3. To adjourn the special meeting, if Mgmt For For
reasonably necessary to provide
stockholders with any required supplement
or amendment to the joint proxy
statement/prospectus or to solicit
additional proxies in the event there are
not sufficient votes at the time of the
special meeting to approve Proposal 1
--------------------------------------------------------------------------------------------------------------------------
ASPEN INSURANCE HOLDINGS LIMITED Agenda Number: 934898389
--------------------------------------------------------------------------------------------------------------------------
Security: G05384105
Meeting Type: Special
Meeting Date: 10-Dec-2018
Ticker: AHL
ISIN: BMG053841059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve an amendment to Aspen's bye-laws Mgmt For For
to reduce the shareholder vote required to
approve a merger with any third party from
the affirmative vote of at least 66% of the
voting power of the shares entitled to vote
at a meeting of the shareholders to a
simple majority of the votes cast at a
meeting of the shareholders.
2. To approve the merger agreement, the Mgmt For For
statutory merger agreement required in
accordance with Section 105 of the Bermuda
Companies Act 1981, as amended, and the
merger.
3. To approve, on an advisory (non-binding) Mgmt For For
basis, the compensation that may be paid or
become payable to Aspen's named executive
officers in connection with the merger, as
described in the proxy statement.
4. To approve an adjournment of the special Mgmt For For
general meeting, if necessary or
appropriate, to solicit additional proxies,
in the event that there are insufficient
votes to approve Proposals 1 or 2 at the
special general meeting.
--------------------------------------------------------------------------------------------------------------------------
ATHENAHEALTH INC Agenda Number: 934917305
--------------------------------------------------------------------------------------------------------------------------
Security: 04685W103
Meeting Type: Special
Meeting Date: 07-Feb-2019
Ticker: ATHN
ISIN: US04685W1036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated as of November 11, 2018 (the merger
agreement), among May Holding Corp., May
Merger Sub Inc. and athenahealth (the
merger).
2. To approve, on a non-binding advisory Mgmt Against Against
basis, specified compensation that may be
paid or become payable to the named
executive officers of athenahealth in
connection with the merger and contemplated
by the merger agreement.
3. To approve the adjournment of the special Mgmt For For
meeting to a later date or time if
necessary or appropriate, including to
solicit additional proxies in favor of the
proposal to adopt the merger agreement if
there are insufficient votes at the time of
the special meeting to adopt the merger
agreement.
--------------------------------------------------------------------------------------------------------------------------
ATLANTIC ACQUISITION CORP. Agenda Number: 934859907
--------------------------------------------------------------------------------------------------------------------------
Security: 048206106
Meeting Type: Special
Meeting Date: 10-Aug-2018
Ticker: ATAC
ISIN: US0482061068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Business Combination Proposal - To approve Mgmt For For
the authorization for Atlantic's board of
directors to complete the merger of Merger
Sub into HF Group Holding Corporation ("HF
Group"), resulting in HF Group becoming a
wholly owned subsidiary of Atlantic, as
provided for in the Acquisition Agreement,
or the "Business Combination."
1a. Intention to Exercise Redemption Rights If Mgmt For
you intend to exercise your redemption
rights, please check this 'FOR' box.
Checking this 'FOR' box, however,is not
sufficient to exercise your redemption
rights. You must comply with the procedures
set forth in the definitive proxy statement
under the section entitled "Special Meeting
of Atlantic Shareholders - Redemption
Rights."
1b. Stockholder Certification I hereby certify Mgmt For
that I am not acting in concert, or as a
"group" (as defined in Section 13(d)(3) of
the Securities Exchange Act of 1934, as
amended), with any other stockholder with
respect to the shares of common stock of
Atlantic, owned by me in connection with
the proposed Business Combination between
Atlantic and HF Group. "For" = I am not
acting in concert. "Against" = I am acting
in concert.
2. Name Change Proposal - To approve the Mgmt For For
amendment of the certificate of
incorporation Atlantic to change Atlantic's
name from "Atlantic Acquisition Corp." to
"HF Foods Group Inc."
3. Equity Incentive Plan Proposal - To approve Mgmt For For
the 2018 Omnibus Equity Incentive Plan.
4. Nasdaq Proposal - To approve the issuance Mgmt For For
of more than 20% of the issued and
outstanding shares of common stock of
Atlantic pursuant to the terms of the
Acquisition Agreement and Business
Combination, as required by Nasdaq Listing
Rules 5635(a) and (d).
5. Adjournment Proposal - To approve the Mgmt For For
adjournment of the special meeting in the
event Atlantic does not receive the
requisite shareholder vote to approve the
Business Combination.
--------------------------------------------------------------------------------------------------------------------------
AVISTA HEALTHCARE PUBLIC ACQ. CORP. Agenda Number: 934878678
--------------------------------------------------------------------------------------------------------------------------
Security: G0726L125
Meeting Type: Special
Meeting Date: 04-Oct-2018
Ticker: AHPA
ISIN: KYG0726L1251
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To consider and vote upon a proposal to Mgmt For For
amend the Company's amended and restated
memorandum and articles of association to
extend the date by which the Company has to
consummate a business combination from
October 14, 2018 to February 15, 2019.
2. To consider and vote upon a proposal to Mgmt For For
amend the Company's Investment Management
Trust Agreement by and between AHPAC and
Continental Stock Transfer & Trust Company,
to extend date on which to commence
liquidating the trust account established
in connection with Company's initial public
offering in event the Company has not
consummated a business combination.
3. To consider and vote upon a proposal to Mgmt For For
approve the adjournment of the
extraordinary general meeting to a later
date or dates, if necessary, to permit
further solicitation and vote of proxies in
the event that there are insufficient votes
for, or otherwise in connection with,
approval of one or more proposals to be
submitted for shareholder approval at
general meeting.
3A. You may exercise your redemption rights Mgmt For
with respect to all or a portion of your
public shares by marking the "FOR" box. If
you exercise your redemption rights, then
you will be exchanging the indicated number
of your public shares of the common stock
of Company for cash and you will no longer
own such public shares.
--------------------------------------------------------------------------------------------------------------------------
BEMIS COMPANY, INC. Agenda Number: 934973101
--------------------------------------------------------------------------------------------------------------------------
Security: 081437105
Meeting Type: Special
Meeting Date: 02-May-2019
Ticker: BMS
ISIN: US0814371052
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the Transaction Agreement, dated Mgmt For For
as of August 6, 2018 (which, as it may be
amended from time to time, we refer to as
the "Transaction Agreement"), by and among
Amcor Limited, Amcor plc (f/k/a Arctic
Jersey Limited) ("New Amcor"), Arctic Corp.
("Merger Sub") and Bemis Company, Inc.
("Bemis"), pursuant to which, among other
transactions, Merger Sub shall merge with
and into Bemis (which is referred to as the
"merger"), with Bemis surviving the merger
as a wholly- owned subsidiary of New Amcor.
2. To approve, in a non-binding advisory vote, Mgmt Against Against
certain compensation that may be paid or
become payable to Bemis' named executive
officers in connection with the
transaction.
3. To approve, in a non-binding advisory vote, Mgmt For For
a provision of the New Amcor Articles of
Association setting forth the requirements
for shareholder nominations and other
proposals to be considered at an annual
general meeting of New Amcor or an
extraordinary general meeting of New Amcor.
4. To approve, in a non-binding advisory vote, Mgmt Against Against
a provision of the New Amcor Articles of
Association to the effect that directors
may be removed from office by ordinary
resolution of the New Amcor shareholders
only for cause.
5. To approve, in a non-binding advisory vote, Mgmt For For
a provision of the New Amcor Articles of
Association establishing that the holders
of shares of New Amcor representing at
least a majority of the total voting rights
of all shareholders entitled to vote at a
general meeting will be quorum for all
purposes.
6. To approve one or more adjournments of the Mgmt For For
special meeting to a later date or dates
for any purpose, including if necessary or
appropriate to solicit additional proxies
if there are insufficient votes to approve
the Transaction Agreement at the time of
the special meeting.
--------------------------------------------------------------------------------------------------------------------------
CAS MEDICAL SYSTEMS, INC. Agenda Number: 934948502
--------------------------------------------------------------------------------------------------------------------------
Security: 124769209
Meeting Type: Special
Meeting Date: 18-Apr-2019
Ticker: CASM
ISIN: US1247692098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated as of February 11, 2019, by and among
CAS Medical Systems, Inc., Edwards
Lifesciences Holding, Inc., and Crown
Merger Sub, Inc.
2. To adjourn the special meeting, if Mgmt For For
necessary, to solicit additional proxies if
there are insufficient votes at the time of
the special meeting to adopt the merger
agreement.
3. To approve a non-binding advisory proposal Mgmt For For
to approve the golden parachute
compensation payable to CAS Medical
Systems, Inc.'s named executive officers in
connection with the merger.
--------------------------------------------------------------------------------------------------------------------------
COBIZ FINANCIAL INC. Agenda Number: 934869934
--------------------------------------------------------------------------------------------------------------------------
Security: 190897108
Meeting Type: Special
Meeting Date: 27-Sep-2018
Ticker: COBZ
ISIN: US1908971088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Merger Proposal. The approval of the Mgmt For For
Agreement and Plan of Merger by and among
CoBiz Financial Inc, BOK Financial
Corporation and BOKF Merger Corporation
Number Sixteen.
2. Compensation Proposal. An advisory Mgmt Against Against
(nonbinding) shareholder approval of
executive compensation that certain
executive officers of CoBiz Financial Inc.
may receive that is based on or otherwise
relates to the merger.
3. Adjournment Proposal. The approval of one Mgmt For For
or more adjournments of the special
meeting, if necessary or appropriate, to
solicit additional proxies in favor of the
merger proposal.
--------------------------------------------------------------------------------------------------------------------------
CONVERGYS CORPORATION Agenda Number: 934875266
--------------------------------------------------------------------------------------------------------------------------
Security: 212485106
Meeting Type: Special
Meeting Date: 03-Oct-2018
Ticker: CVG
ISIN: US2124851062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
as amended, by and among Convergys, SYNNEX,
Delta Merger Sub I, Inc. and Concentrix CVG
Corp.
2. To approve the adjournment of the Convergys Mgmt For For
special meeting, if necessary, to solicit
additional proxies if there are not
sufficient votes to adopt the merger
agreement at the time of the Convergys
special meeting or any adjournment or
postponement thereof.
3. To approve, on an advisory (non-binding) Mgmt For For
basis, compensation that will or may be
paid or provided by Convergys to its named
executive officers in connection with the
mergers.
--------------------------------------------------------------------------------------------------------------------------
DOMINION MIDSTREAM PARTNERS LP Agenda Number: 934925249
--------------------------------------------------------------------------------------------------------------------------
Security: 257454108
Meeting Type: Consent
Meeting Date: 15-Feb-2019
Ticker:
ISIN: US2574541080
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The undersigned, being a holder of record Mgmt For For
as of the close of business on January 7,
2019 (the "Record Date") of DEM Common
Units and/or DEM Series A Preferred Units,
hereby consents to and approves, by written
consent without a meeting, the Merger
Agreement and the transactions contemplated
thereby, including the Merger.
--------------------------------------------------------------------------------------------------------------------------
ENBRIDGE ENERGY MANAGEMENT, L.L.C. Agenda Number: 934901314
--------------------------------------------------------------------------------------------------------------------------
Security: 29250X103
Meeting Type: Special
Meeting Date: 17-Dec-2018
Ticker: EEQ
ISIN: US29250X1037
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the Agreement and Plan of Mgmt For For
Merger, dated as of September 17, 2018 (as
it may be amended from time to time, the
"EEQ merger agreement"), entered into by
and among Enbridge Energy Management,
L.L.C. ("EEQ"), Enbridge Inc. ("Enbridge"),
Winter Acquisition Sub I, Inc. ("Merger
Sub") and, solely for purposes of Article
I, Section 2.4 and Article X therein,
Enbridge Energy Company, Inc. (the "General
Partner") (the "EEQ Merger Proposal").
2. To waive Section 9.01(a)(v) of the Amended Mgmt For For
and Restated Limited Liability Company
Agreement of EEQ, dated as of October 17,
2002, as amended (the "EEQ LLC Agreement"),
in connection with the merger provided for
in the EEQ merger agreement (the "Waiver
Proposal").
3. To adopt an amendment to the EEQ LLC Mgmt For For
Agreement (a form of which is attached as
Exhibit A to the EEQ merger agreement) to
increase certain voting rights to which the
record holders of all of the outstanding
listed shares of EEQ are entitled (the "EEQ
LLC Agreement Amendment Proposal").
4. To approve the adjournment of the special Mgmt For For
meeting from time to time, if necessary to
solicit additional proxies if there are not
sufficient votes to approve the EEQ Merger
Proposal, the Waiver Proposal or the EEQ
LLC Agreement Amendment Proposal, at the
time of the special meeting.
5. To approve the Agreement and Plan of Mgmt For For
Merger, entered into by and among Enbridge
Energy Partners, L.P. ("EEP"), the General
Partner, EEQ, Enbridge, Enbridge (U.S.)
Inc., Winter Acquisition Sub II, LLC and,
solely for purposes of Article I, Article
II and Article XI therein, Enbridge US
Holdings Inc., in order to determine how
the EEP i-units will be voted at the
special meeting in which the EEP
unitholders will vote on the EEP merger
agreement (the "EEP special meeting") on
the proposal to approve the EEP merger
agreement.
6. To approve the adjournment of the EEP Mgmt For For
special meeting from time to time, if
necessary to solicit additional proxies if
there are not sufficient votes to approve
the EEP merger agreement at the time of the
EEP special meeting, in order to determine
how the EEP i-units will be voted at the
EEP special meeting on the proposal to
approve the EEP merger agreement.
--------------------------------------------------------------------------------------------------------------------------
EXPRESS SCRIPTS HOLDING COMPANY Agenda Number: 934858309
--------------------------------------------------------------------------------------------------------------------------
Security: 30219G108
Meeting Type: Special
Meeting Date: 24-Aug-2018
Ticker: ESRX
ISIN: US30219G1085
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. A proposal to adopt the Agreement and Plan Mgmt For For
of Merger, dated as of March 8, 2018, as
amended by Amendment No. 1, dated as of
June 27, 2018, and as it may be further
amended from time to time (the "Merger
Agreement"), by and among Cigna
Corporation, Express Scripts Holding
Company ("Express Scripts"), Halfmoon
Parent, Inc., Halfmoon I, Inc. and Halfmoon
II, Inc.
2. A proposal to approve the adjournment of Mgmt For For
the Express Scripts special meeting, if
necessary or appropriate, to solicit
additional proxies if there are not
sufficient votes to approve the proposal to
adopt the Merger Agreement.
3. A proposal to approve, by a non-binding Mgmt Against Against
advisory vote, certain compensation
arrangements that may be paid or become
payable to Express Scripts' named executive
officers in connection with the mergers
contemplated by the Merger Agreement.
--------------------------------------------------------------------------------------------------------------------------
FCB FINANCIAL HOLDINGS, INC. Agenda Number: 934896121
--------------------------------------------------------------------------------------------------------------------------
Security: 30255G103
Meeting Type: Special
Meeting Date: 29-Nov-2018
Ticker: FCB
ISIN: US30255G1031
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Merger Proposal: To adopt the Agreement and Mgmt For For
Plan of Merger, dated as of July 23, 2018,
as it may be amended from time to time, by
and among Synovus Financial Corp.
("Synovus"), Azalea Merger Sub Corp., a
wholly-owned subsidiary of Synovus, and FCB
Financial Holdings, Inc. ("FCB") and the
transactions contemplated thereby.
2. Compensation Proposal: To approve, on a Mgmt Against Against
non-binding, advisory basis, the
compensation to be paid to FCB's named
executive officers that is based on or
otherwise relates to the merger.
3. Adjournment Proposal: To approve the Mgmt For For
adjournment of the FCB special meeting, if
necessary or appropriate to permit further
solicitation of proxies in favor of the
merger proposal.
--------------------------------------------------------------------------------------------------------------------------
FIRST DATA CORPORATION Agenda Number: 934956662
--------------------------------------------------------------------------------------------------------------------------
Security: 32008D106
Meeting Type: Consent
Meeting Date: 11-Apr-2019
Ticker: FDC
ISIN: US32008D1063
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The adoption of the Agreement and Plan of Mgmt For For
Merger, dated as of January 16, 2019, by
and among First Data, Fiserv and 300
Holdings, Inc., a Delaware corporation
("Merger Sub"), pursuant to which Merger
Sub will merge with and into First Data
(the "Merger"), with First Data surviving
the Merger as a direct, wholly owned
subsidiary of Fiserv.
2. The adoption of the following resolution, Mgmt For For
on a non-binding, advisory basis:
"RESOLVED, that compensation that will or
may be made to First Data's named executive
officers in connection with the Merger, and
the agreements or understandings pursuant
to which such compensation will or may be
made, in each case, as disclosed pursuant
to Item 402(t) of Regulation S-K under the
heading "The Merger-Interests of Certain
First Data Directors & Executive Officers
in Merger" beginning on page 132 of Joint
Proxy & Consent Solicitation
Statement/Prospectus.
--------------------------------------------------------------------------------------------------------------------------
FIRST DATA CORPORATION Agenda Number: 934958907
--------------------------------------------------------------------------------------------------------------------------
Security: 32008D106
Meeting Type: Annual
Meeting Date: 09-May-2019
Ticker: FDC
ISIN: US32008D1063
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Frank J. Bisignano Mgmt For For
Henry R. Kravis Mgmt Withheld Against
Heidi G. Miller Mgmt For For
2. Cast an advisory vote on the compensation Mgmt Against Against
of named executive officers.
3. Ratify the appointment of Ernst & Young LLP Mgmt For For
as First Data's independent registered
public accounting firm for our fiscal year
ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
GOLDCORP INC. Agenda Number: 934942738
--------------------------------------------------------------------------------------------------------------------------
Security: 380956409
Meeting Type: Special
Meeting Date: 04-Apr-2019
Ticker: GG
ISIN: CA3809564097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 A special resolution to approve an Mgmt For For
arrangement under Section 182 of the
Business Corporations Act (Ontario)
involving the Company and Newmont Mining
Corporation, all as more particularly
described in the management information
circular of the Company dated March 4,
2019.
--------------------------------------------------------------------------------------------------------------------------
GTY TECHNOLOGY HOLDINGS INC Agenda Number: 934888174
--------------------------------------------------------------------------------------------------------------------------
Security: G4182A102
Meeting Type: Special
Meeting Date: 30-Oct-2018
Ticker: GTYH
ISIN: KYG4182A1022
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Extension Proposal - To amend the Mgmt For For
Company's second amended and restated
memorandum and articles of association to
extend the date by which the Company has to
consummate a business combination from
November 1, 2018 to May 1, 2019.
2. The Adjournment Proposal - To approve the Mgmt For For
adjournment of the extraordinary general
meeting to a later date or dates, if
necessary or appropriate, to permit further
solicitation and vote of proxies in the
event that there are insufficient votes
for, or otherwise in connection with, the
approval of proposal 1.
--------------------------------------------------------------------------------------------------------------------------
GUARANTY BANCORP Agenda Number: 934870038
--------------------------------------------------------------------------------------------------------------------------
Security: 40075T607
Meeting Type: Special
Meeting Date: 25-Sep-2018
Ticker: GBNK
ISIN: US40075T6073
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approval and adoption of the Agreement and Mgmt For For
Plan of Reorganization dated as of May 22,
2018 by and between Independent Bank Group,
Inc. (Independent) and Guaranty Bancorp
(Guaranty) as such agreement may be
amended, supplemented or modified from time
to time, pursuant to which Guaranty will
merge with and into Independent (the
Guaranty merger proposal).
2. Approval, on an advisory (non-binding) Mgmt Against Against
basis, of the compensation that certain
executive officers of Guaranty may receive
in connection with the merger of Guaranty
with and into Independent pursuant to
existing agreements or arrangements with
Guaranty.
3. Approval of the adjournment of the Guaranty Mgmt For For
special meeting to a later date or dates,
if the board of directors of Guaranty
determines such an adjournment is necessary
or appropriate, to permit solicitation of
additional proxies in favor of the Guaranty
merger proposal.
--------------------------------------------------------------------------------------------------------------------------
ICC LABS INC. Agenda Number: 934885205
--------------------------------------------------------------------------------------------------------------------------
Security: 449234103
Meeting Type: Special
Meeting Date: 06-Nov-2018
Ticker: ICCLF
ISIN: CA4492341033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 To pass, with or without variation, a Mgmt For For
special resolution, the full text of which
is set forth in Appendix "B" to the
accompanying management information
circular of the Corporation dated October
3, 2018 (the "Circular"), to approve a plan
of arrangement under Division 5 of Part 9
of the Business Corporations Act (British
Columbia) whereby, among other things,
Aurora Cannabis Inc. will acquire all of
the issued and outstanding common shares of
the Corporation, all as more particularly
described in the Circular.
--------------------------------------------------------------------------------------------------------------------------
ILG INC Agenda Number: 934861952
--------------------------------------------------------------------------------------------------------------------------
Security: 44967H101
Meeting Type: Special
Meeting Date: 28-Aug-2018
Ticker: ILG
ISIN: US44967H1014
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the transactions contemplated by Mgmt For For
the Agreement and Plan of Merger, dated as
of April 30, 2018 (the "merger agreement"),
by and among ILG, Marriott Vacations
Worldwide Corporation, a Delaware
corporation ("MVW"), Ignite Holdco, Inc., a
wholly-owned direct subsidiary of ILG
("Holdco"), Ignite Holdco Subsidiary, Inc.,
a wholly-owned direct subsidiary of Holdco
("Ignite Merger Sub"), Volt Merger Sub,
Inc., a wholly-owned direct subsidiary of
MVW ("Volt Corporate Merger Sub"), (the
"combination transactions").
2. To approve, on a non-binding, advisory Mgmt For For
basis, the compensation that may be paid or
become payable to ILG's named executive
officers in connection with the combination
transactions.
3. To adjourn the ILG Special Meeting, if Mgmt For For
necessary or appropriate, to solicit
additional proxies.
--------------------------------------------------------------------------------------------------------------------------
INDUSTREA ACQUISITION CORP. Agenda Number: 934903899
--------------------------------------------------------------------------------------------------------------------------
Security: 45579J104
Meeting Type: Special
Meeting Date: 04-Dec-2018
Ticker: INDU
ISIN: US45579J1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Business Combination Proposal: Approve Mgmt For For
and adopt the Agreement and Plan of Merger,
dated as of September 7, 2018, by and among
the Company, Concrete Pumping Holdings
Acquisition Corp., a Delaware corporation
and wholly-owned subsidiary of the Company
("Newco"), Concrete Pumping Holdings, Inc.,
a Delaware corporation ("CPH"), certain
subsidiaries of Newco, and PGP Investors,
LLC, solely in its capacity as the initial
Holder Representative, a copy of which is
attached to the proxy statement/prospectus
as Annex A.
2. The Nasdaq Proposal: To approve, for Mgmt For For
puposes of complying with applicable Nasdaq
listing rules, the issuance of more than
20% of the Company's issued and outstanding
common stock pursuant to the Business
Combination.
3. The Charter Proposals: To approve the Mgmt For For
following material differences between the
proposed amended and restated certificate
of incorporation of Newco (the "Newco
Charter"): The name of the new public
company will be Concrete Pumping Holdings,
Inc. as opposed to "Industrea Acquisition
Corp."
4. The Charter Proposals: To approve the Mgmt For For
following material differences between the
proposed amended and restated certificate
of incorporation of Newco (the "Newco
Charter"): Newco will have 500,000,000
authorized shares of common stock and
10,000,000 authorized shares of preferred
stock, as opposed to the Company having
220,000,000 authorized shares of common
stock and 1,000,000 authorized shares of
preferred stock.
5. The Charter Proposals: To approve the Mgmt For For
following material differences between the
proposed amended and restated certificate
of incorporation of Newco (the "Newco
Charter"): The Newco Charter will not
include the various provisions applicable
only to special purpose acquisition
companies that the Industrea Charter
contains (such as the obligation to
dissolve and liquidate if a business
combination is not consummated in a certain
period of time).
6. DIRECTOR
Heather L. Faust Mgmt Withheld Against
David G. Hall Mgmt For For
Iain Humphries Mgmt Withheld Against
Brian Hodges Mgmt For For
John M. Piecuch Mgmt For For
Howard D. Morgan Mgmt Withheld Against
David A. B. Brown Mgmt For For
Tariq Osman Mgmt Withheld Against
Bruce Young Mgmt Withheld Against
7. The Incentive Plan Proposal: To approve the Mgmt For For
Concrete Pumping Holdings, Inc. 2018
Omnibus Incentive Plan, which is an
incentive compensation plan for employees,
directors and consultants of Newco and its
subsidiaries, including CPH, a copy of
which is attached to the proxy
statement/prospectus as Annex C.
8. The Adjournment Proposal: To approve the Mgmt For For
adjournment of the Special Meeting to a
later date or dates, if necessary, to
permit further solicitation and vote of
proxies in the event that there are
insufficient votes for, or otherwise in
connection with, the approval of the
Business Combination Proposal, the Nasdaq
Proposal, the Charter Proposals or the
Incentive Plan Proposal. This proposal will
only be presented at the Special Meeting if
there are not sufficient votes to approve
the Business Combination Proposal the
Nasdaq Proposal.
--------------------------------------------------------------------------------------------------------------------------
LIFEPOINT HEALTH, INC. Agenda Number: 934883352
--------------------------------------------------------------------------------------------------------------------------
Security: 53219L109
Meeting Type: Special
Meeting Date: 29-Oct-2018
Ticker: LPNT
ISIN: US53219L1098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated as of July 22, 2018, as it may be
amended from time to time, by and among
LifePoint Health, Inc., RegionalCare
Hospital Partners Holdings, Inc. (D/B/A
RCCH HealthCare Partners) and Legend Merger
Sub, Inc.
2. To approve one or more adjournments of the Mgmt For For
special meeting, if necessary or advisable,
to solicit additional proxies if there are
insufficient votes at the time of the
special meeting to adopt the Agreement and
Plan of Merger.
3. To approve, on an advisory (non-binding) Mgmt Against Against
basis, the golden parachute compensation
that may be payable to LifePoint Health,
Inc.'s named executive officers in
connection with the consummation of the
merger.
--------------------------------------------------------------------------------------------------------------------------
MINDBODY, INC. Agenda Number: 934923269
--------------------------------------------------------------------------------------------------------------------------
Security: 60255W105
Meeting Type: Special
Meeting Date: 14-Feb-2019
Ticker: MB
ISIN: US60255W1053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated as of December 23, 2018, by and among
MINDBODY, Inc., Torreys Parent, LLC and
Torreys Merger Sub, Inc. (the "Merger
Agreement").
2. To approve, on a advisory (non-binding) Mgmt For For
basis, the compensation that may be paid or
become payable to MINDBODY, Inc.'s named
executive officers that is based or
otherwise relates to the Merger Agreement
and the transactions contemplated by the
Merger Agreement.
3. To approve any proposal to adjourn the Mgmt For For
Special Meeting to a later date or dates,
if necessary or appropriate, to solicit
additional proxies if there are
insufficient votes at the time of the
Special Meeting to approve the proposal to
adopt the Merger Agreement.
--------------------------------------------------------------------------------------------------------------------------
NEVADA GOLD & CASINOS, INC. Agenda Number: 934924831
--------------------------------------------------------------------------------------------------------------------------
Security: 64126Q206
Meeting Type: Special
Meeting Date: 22-Feb-2019
Ticker: UWN
ISIN: US64126Q2066
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the Agreement and Plan of Mgmt For For
Merger, as amended by Amendment No. 1 to
Agreement and Plan of Merger, by and among
Nevada Gold & Casinos, Inc., a Nevada
corporation, Maverick Casinos LLC, a Nevada
limited liability company ("Parent"), and
Maverick Casinos Merger Sub, Inc., a Nevada
corporation and a wholly-owned subsidiary
of Parent, with the Company continuing as
the surviving corporation and becoming a
wholly-owned subsidiary of Parent. A copy
of the Merger Agreement is attached as
Appendix A to the accompanying proxy
statement.
2. A proposal to approve, on an advisory and Mgmt For For
non-binding basis, certain compensation
that will or may be paid or become payable
to the Company's named executive officers
in connection with the proposed merger.
3. A proposal to adjourn the special meeting, Mgmt For For
if necessary or appropriate, to solicit
additional proxies if there are
insufficient votes at the time of the
special meeting to approve the proposal to
approve the Merger Agreement.
--------------------------------------------------------------------------------------------------------------------------
NIGHTSTAR THERAPEUTICS PLC Agenda Number: 934992529
--------------------------------------------------------------------------------------------------------------------------
Security: 65413A101
Meeting Type: Special
Meeting Date: 08-May-2019
Ticker: NITE
ISIN: US65413A1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
C1 To approve the scheme of arrangement Mgmt For For
proposed to be made between the Company and
certain Company shareholders (the "Scheme")
subject to the terms and conditions and as
set out in the Scheme Document dated April
9, 2019.
S1 THAT: notwithstanding anything contained in Mgmt For For
the Company's articles of association, the
board of directors of the Company (the
"Board") be authorised to re-designate any
ordinary share of GBP 0.01 in the capital
of the Company (each, an "Ordinary Share")
that is subject to a vesting agreement
dated on or about 27 September 2017,
entered into between the Company and
certain then employee-holders of Ordinary
Shares in the capital of the Company, as a
Deferred Share in the capital ...(due to
space limits, see proxy material for full
proposal).
O2 THAT: conditional upon passing Resolution 1 Mgmt For For
and the Board so authorising, the terms of
each of the buy-back agreements to acquire
any Deferred Shares in the forms available
for inspection on the Company's website and
at its registered office be and is hereby
approved.
S3 THAT: for the purpose of giving effect to Mgmt For For
the scheme of arrangement dated April 9,
2019 (the "Scheme") between the Company and
the holders of the Nightstar Scheme Shares
(as defined in the Scheme), a print of
which has been produced to this meeting and
for the purposes of identification signed
by the Chairman hereof, in its original
form or subject to such modification,
addition or condition agreed between the
Company and Biogen Switzerland Holdings
GmbH and approved or imposed by ...(due to
space limits, see proxy material for full
proposal).
--------------------------------------------------------------------------------------------------------------------------
NUTRISYSTEM, INC. Agenda Number: 934926392
--------------------------------------------------------------------------------------------------------------------------
Security: 67069D108
Meeting Type: Special
Meeting Date: 05-Mar-2019
Ticker: NTRI
ISIN: US67069D1081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To consider and vote on a proposal to adopt Mgmt For For
the Agreement and Plan of Merger, dated as
of December 9, 2018, as it may be amended
from time to time, by and among Tivity
Health, Inc., Sweet Acquisition, Inc. and
Nutrisystem, Inc.
2. To consider and vote on a proposal to Mgmt For For
approve the adjournment of the special
meeting if necessary or appropriate,
including to solicit additional proxies in
the event there are not sufficient votes at
the time of the special meeting to approve
Proposal 1.
3. To consider and vote on a proposal to Mgmt For For
approve, on an advisory (non-binding)
basis, certain compensation that may be
paid or become payable to Nutrisystem,
Inc.'s named executive officers in
connection with, or following, the closing
of the merger contemplated by the agreement
referred to in Proposal 1 or in the absence
of a quorum.
--------------------------------------------------------------------------------------------------------------------------
OCLARO, INC. Agenda Number: 934844449
--------------------------------------------------------------------------------------------------------------------------
Security: 67555N206
Meeting Type: Special
Meeting Date: 10-Jul-2018
Ticker: OCLR
ISIN: US67555N2062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated as of March 11, 2018, among Lumentum
Holdings Inc., Oclaro, Inc., Prota Merger
Sub, Inc., and Prota Merger, LLC, as it may
be amended from time to time, which
provides for the acquisition of Oclaro by
Lumentum through a merger of Prota Merger,
LLC and Oclaro followed by a merger of
Oclaro with and into Prota Merger, Sub,
Inc.
2. To approve, on a non-binding, advisory Mgmt For For
basis, the compensation payments that will
or may be made to Oclaro's named executive
officers in connection with the Merger.
3. To approve the adjournment of the special Mgmt For For
meeting, from time to time, if necessary or
appropriate, to solicit additional proxies
if there are not sufficient votes at the
time of the special meeting to approve
Proposal 1.
--------------------------------------------------------------------------------------------------------------------------
OURPET'S COMPANY Agenda Number: 934929879
--------------------------------------------------------------------------------------------------------------------------
Security: 689890101
Meeting Type: Special
Meeting Date: 07-Mar-2019
Ticker: OPCO
ISIN: US6898901011
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the merger and the other Mgmt For For
transactions contemplated by the Agreement
and Plan of Merger, dated as of December
18, 2018, as may be amended from time to
time, among OurPet's Company, Paws Merger
Parent, LLC, and Paws Merger Sub, Inc.,
which provides for the merger of Merger Sub
with and into OurPet's, and the other
transactions contemplated by the merger
agreement.
2. To approve an adjournment of the special Mgmt For For
meeting to a later date or time, if
necessary or appropriate, including for the
purpose of soliciting additional votes in
favor of the proposal to approve the merger
and the other transactions contemplated by
the merger agreement.
--------------------------------------------------------------------------------------------------------------------------
PINNACLE FOODS INC. Agenda Number: 934878995
--------------------------------------------------------------------------------------------------------------------------
Security: 72348P104
Meeting Type: Special
Meeting Date: 23-Oct-2018
Ticker: PF
ISIN: US72348P1049
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Adopt the Agreement and Plan of Merger, Mgmt For For
dated as of June 26, 2018, as it may be
amended from time to time (the "merger
agreement"), by and among Pinnacle Foods
Inc., a Delaware corporation, Conagra
Brands Inc., a Delaware corporation, and
Patriot Merger Sub Inc., a Delaware
corporation.
2. Approve, on a non-binding, advisory basis, Mgmt For For
the compensation that may be paid or may
become payable to Pinnacle Foods Inc.'s
named executive officers in connection
with, or following, the closing of the
merger contemplated by the merger
agreement.
3. Approve adjournments of the Special Mgmt For For
Meeting, if necessary or appropriate, to
solicit additional proxies in favor of the
proposal to adopt the merger agreement at
the time of the Special Meeting.
--------------------------------------------------------------------------------------------------------------------------
SBT BANCORP, INC. Agenda Number: 935049521
--------------------------------------------------------------------------------------------------------------------------
Security: 78391C106
Meeting Type: Special
Meeting Date: 26-Jun-2019
Ticker: SBTB
ISIN: US78391C1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To vote upon a proposal to approve the Mgmt For For
Agreement and Plan of Merger, dated as of
March 20, 2019, by and among Liberty Bank
and SBT Bancorp and The Simsbury Bank &
Trust Company, Inc.
2. To vote upon a proposal to adjourn the Mgmt For For
special meeting to a later date or dates,
if necessary, to permit further
solicitation of proxies if there are not
sufficient votes at the time of the special
meeting to approve the Agreement and Plan
of Merger.
--------------------------------------------------------------------------------------------------------------------------
SELECT INCOME REIT Agenda Number: 934904687
--------------------------------------------------------------------------------------------------------------------------
Security: 81618T100
Meeting Type: Special
Meeting Date: 20-Dec-2018
Ticker: SIR
ISIN: US81618T1007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approval of the merger, or the Merger, of Mgmt Against Against
Select Income REIT with & into GOV MS
REIT,a Maryland real estate investment
trust that is a wholly owned subsidiary of
Government Properties Income Trust, with
GOV MS REIT as the surviving entity in the
Merger, pursuant to the Agreement and Plan
of Merger, dated as of September 14, 2018,
as it may be amended from time to time, or
the Merger Agreement, by and among
Government Properties Income Trust, GOV MS
REIT and Select Income REIT and the other
transactions contemplated by Merger
Agreement.
2. Approval of the adjournment of the special Mgmt Against Against
meeting of shareholders of Select Income
REIT from time to time, if necessary or
appropriate, including to solicit
additional proxies in favor of the Merger
and the other transactions contemplated by
the Merger Agreement to which Select Income
REIT is a party if there are insufficient
votes at the time of such adjournment to
approve such proposal.
--------------------------------------------------------------------------------------------------------------------------
SENDGRID, INC. Agenda Number: 934916327
--------------------------------------------------------------------------------------------------------------------------
Security: 816883102
Meeting Type: Special
Meeting Date: 30-Jan-2019
Ticker: SEND
ISIN: US8168831027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger Mgmt For For
and Reorganization, dated October 15, 2018,
among Twilio Inc., Topaz Merger Subsidiary,
Inc., and SendGrid, Inc., as amended on
December 13, 2018 and as such agreement may
be further amended from time to time (the
"merger agreement").
2. To approve, on an advisory (non-binding) Mgmt For For
basis, the compensation that may be paid or
become payable to SendGrid's named
executive officers that is based on or
otherwise relates to the merger agreement
and the transactions contemplated by the
merger agreement.
3. To approve adjournments of the SendGrid Mgmt For For
special meeting, if necessary and
appropriate, to solicit additional proxies
if there are not sufficient votes to
approve the SendGrid merger proposal.
--------------------------------------------------------------------------------------------------------------------------
SHIRE PLC Agenda Number: 934899622
--------------------------------------------------------------------------------------------------------------------------
Security: 82481R106
Meeting Type: Special
Meeting Date: 05-Dec-2018
Ticker: SHPG
ISIN: US82481R1068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the Scheme of Arrangement. Mgmt For For
2. Special Resolution: THAT for the purpose of Mgmt For For
giving effect to the Scheme of Arrangement:
(1) the Board of Directors of the Company
(the "Board") be authorized to take all
such action as they may consider necessary
or appropriate for carrying the Scheme of
Arrangement into effect, (2) the articles
of association of the Company be amended by
the adoption and inclusion of a new Article
154 and (3) conditional upon and with
effect from the sanctioning of the Scheme
of Arrangement ...(due to space limits, see
proxy material for full proposal).
--------------------------------------------------------------------------------------------------------------------------
SI FINANCIAL GROUP, INC. Agenda Number: 934932737
--------------------------------------------------------------------------------------------------------------------------
Security: 78425V104
Meeting Type: Special
Meeting Date: 02-Apr-2019
Ticker: SIFI
ISIN: US78425V1044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approval of the Agreement and Plan of Mgmt For For
Merger, dated as of December 11, 2018, by
and between Berkshire Hills Bancorp, Inc.
("Berkshire") and SI Financial Group, Inc.
(the "Company"), pursuant to which, among
other things, the Company will merge with
and into Berkshire.
2. An advisory (non-binding) proposal to Mgmt For For
approve compensation payable to the
Company's named executive officers in
connection with the merger.
3. Approval of one or more adjournments of the Mgmt For For
special meeting if necessary or appropriate
to solicit additional proxies in favor of
the approval of the merger agreement.
--------------------------------------------------------------------------------------------------------------------------
SPARTON CORPORATION Agenda Number: 934923586
--------------------------------------------------------------------------------------------------------------------------
Security: 847235108
Meeting Type: Special
Meeting Date: 01-Mar-2019
Ticker: SPA
ISIN: US8472351084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Proposal to adopt the Agreement and Plan of Mgmt For For
Merger, dated as of December 11, 2018, by
and among Sparton Corporation, Striker
Parent 2018, LLC, and Striker Merger Sub
2018, Inc.(the "Merger Agreement").
2. Proposal to approve, on a non-binding, Mgmt For For
advisory basis, the compensation that
certain executive officers of the Company
may receive in connection with the merger
pursuant to agreements or arrangements with
the Company.
3. Proposal to approve one or more Mgmt For For
adjournments of the special meeting, if
necessary or advisable, to solicit
additional proxies if there are
insufficient votes to adopt the Merger
Agreement at the time of the special
meeting.
--------------------------------------------------------------------------------------------------------------------------
TCF FINANCIAL CORPORATION Agenda Number: 935026547
--------------------------------------------------------------------------------------------------------------------------
Security: 872275102
Meeting Type: Special
Meeting Date: 07-Jun-2019
Ticker: TCF
ISIN: US8722751026
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Adoption of the Agreement and Plan of Mgmt For For
Merger, dated as of January 27, 2019 (as it
may be amended from time to time), by and
between TCF Financial Corporation ("TCF")
and Chemical Financial Corporation
("Chemical"), pursuant to which TCF will
merge with and into Chemical, with Chemical
surviving the merger (the "TCF merger
proposal").
2. Approval, on a non-binding advisory basis, Mgmt For For
of certain compensation that will or may be
paid by TCF to its named executive officers
that is based on or otherwise relates to
the merger (the "TCF compensation
proposal").
3. Approval of the adjournment of the special Mgmt For For
meeting of TCF stockholders to a later date
or dates, if necessary or appropriate, for
the purpose of soliciting additional votes
for the approval of the TCF merger proposal
if there are insufficient votes to approve
the TCF merger proposal at the time of the
special meeting (the "TCF adjournment
proposal").
--------------------------------------------------------------------------------------------------------------------------
TIER REIT, INC. Agenda Number: 935030130
--------------------------------------------------------------------------------------------------------------------------
Security: 88650V208
Meeting Type: Special
Meeting Date: 12-Jun-2019
Ticker: TIER
ISIN: US88650V2088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the merger of the Company with Mgmt For For
and into Murphy Subsidiary Holdings
Corporation ("Merger Sub"), with Merger Sub
surviving the merger (the "Merger") as a
wholly owned subsidiary of Cousins
Properties Incorporated ("Cousins"), on the
terms and subject to the conditions of the
agreement and plan of merger, dated March
25, 2019, as may be amended or supplemented
from time to time, by and among the
Company, Cousins and Merger Sub.
2. To approve, on a non-binding advisory Mgmt Against Against
basis, the compensation that may be paid or
become payable to the Company's named
executive officers in connection with the
Merger.
3. To approve the adjournment of the special Mgmt For For
meeting, if necessary or appropriate, to
solicit additional proxies in favor of the
Merger, if there are insufficient votes at
the time of such adjournment to approve the
Merger.
--------------------------------------------------------------------------------------------------------------------------
TOP IMAGE SYSTEMS LTD. Agenda Number: 934948514
--------------------------------------------------------------------------------------------------------------------------
Security: M87896102
Meeting Type: Special
Meeting Date: 04-Apr-2019
Ticker: TISA
ISIN: IL0010827348
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. APPROVAL OF THE ACQUISITION OF TOP IMAGE Mgmt For For
SYSTEMS LTD. BY KOFAX, INC., INCLUDING THE
APPROVAL OF (I) THE AGREEMENT AND PLAN OF
MERGER, DATED AS OF FEBRUARY 3, 2019, BY
AND AMONG TOP IMAGE SYSTEMS LTD., KOFAX,
INC., KOFAX HOLDINGS INTERNATIONAL LTD.,
AND TORNELY LTD. (THE "MERGER AGREEMENT"),
(II) THE MERGER CONTEMPLATED BY THE MERGER
AGREEMENT (THE "MERGER"), (III) THE
CONSIDERATION TO BE RECEIVED BY
SHAREHOLDERS OF TOP IMAGE SYSTEMS LTD. IN
THE MERGER AND (IV) ALL OTHER TRANSACTIONS
CONTEMPLATED BY THE MERGER AGREEMENT.
1a. IN ORDER FOR YOUR VOTE FOR THE MERGER Mgmt For
PROPOSAL TO BE COUNTED, YOU MUST AFFIRM
THAT YOU ARE NOT A MERGER SUB AFFILIATE AS
DEFINED IN THE PROXY STATEMENT. IF YOU DO
NOT SO AFFIRM, YOUR VOTE WILL NOT COUNT
TOWARDS THE TALLY FOR THE MERGER PROPOSAL.
ARE YOU A MERGER SUB AFFILIATE? IF YOU
ANSWERED "YES" AND ARE A MERGER SUB
AFFILIATE, DETAIL THE NATURE OF YOUR
AFFILIATION. MARK FOR = "NO" OR AGAINST =
"YES"
2. APPROVAL, ON A NON-BINDING, ADVISORY BASIS, Mgmt For For
OF CERTAIN COMPENSATION THAT MAY BE PAID OR
BECOME PAYABLE TO TIS'S EXECUTIVE OFFICERS
IN CONNECTION WITH THE MERGER AND THE
AGREEMENTS AND UNDERSTANDINGS PURSUANT TO
WHICH SUCH COMPENSATION MAY BE PAID OR
BECOME PAYABLE.
--------------------------------------------------------------------------------------------------------------------------
TRANSMONTAIGNE PARTNERS L P Agenda Number: 934925237
--------------------------------------------------------------------------------------------------------------------------
Security: 89376V100
Meeting Type: Special
Meeting Date: 26-Feb-2019
Ticker: TLP
ISIN: US89376V1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the Agreement and Plan of Mgmt For For
Merger, dated as of November 25, 2018, by
and among TransMontaigne Partners L.P.
("Partnership"), TransMontaigne GP L.L.C.
TLP Finance Holdings, LLC ("Parent"), TLP
Merger Sub, LLC ("Merger Sub"), TLP
Acquisition Holdings, LLC and, solely for
the purposes of Section 6.19 thereof, TLP
Equity Holdings, LLC, as such agreement may
be amended from time to time.
2. To approve the adjournment of the Special Mgmt For For
Meeting, if necessary or appropriate, to
solicit additional proxies if there are not
sufficient votes to approve the Merger
Agreement and the Merger, at the time of
the Special Meeting.
--------------------------------------------------------------------------------------------------------------------------
UQM TECHNOLOGIES, INC. Agenda Number: 934945291
--------------------------------------------------------------------------------------------------------------------------
Security: 903213106
Meeting Type: Special
Meeting Date: 23-Apr-2019
Ticker: UQM
ISIN: US9032131065
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To consider and vote on a proposal to adopt Mgmt For For
and approve the Agreement and Plan of
Merger dated as of January 21, 2019, by and
among UQM, Danfoss Power Solutions (US)
Company ("Danfoss") and a wholly owned
subsidiary of Danfoss ("Merger Sub"),
pursuant to which Merger Sub will be merged
with and into UQM, with UQM surviving the
merger as a wholly owned subsidiary of
Danfoss (the "Merger" and, such proposal,
the "Merger Proposal").
2. To approve, on an advisory (non-binding) Mgmt For For
basis, specified compensation that may
become payable to the named executive
officers of the Company in connection with
the Merger (the "Advisory Compensation
Proposal").
3. To approve the adjournment or postponement Mgmt For For
of the Special Meeting, if necessary or
appropriate, for, among other reasons, the
solicitation of additional proxies in the
event that there are not sufficient votes
at the time of the Special Meeting to adopt
and approve the Merger Agreement.
--------------------------------------------------------------------------------------------------------------------------
WABCO HOLDINGS INC. Agenda Number: 935038249
--------------------------------------------------------------------------------------------------------------------------
Security: 92927K102
Meeting Type: Special
Meeting Date: 27-Jun-2019
Ticker: WBC
ISIN: US92927K1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger Mgmt For For
(as it may be amended from time to time),
dated as of March 28, 2019 (the "Merger
Agreement"), by and among WABCO Holdings
Inc., ZF Friedrichshafen AG and Verona
Merger Sub Corp.
2. To approve, by means of a non-binding, Mgmt For For
advisory vote, compensation that will or
may become payable to the named executive
officers of WABCO Holdings Inc. in
connection with the merger.
3. To approve one or more adjournments or Mgmt For For
postponements of the special meeting to a
later date or dates, if necessary or
appropriate, to solicit additional proxies
if there are insufficient votes to adopt
the Merger Agreement at the then- scheduled
date and time of the special meeting.
--------------------------------------------------------------------------------------------------------------------------
WESTERN GAS PARTNERS, LP Agenda Number: 934923625
--------------------------------------------------------------------------------------------------------------------------
Security: 958254104
Meeting Type: Special
Meeting Date: 27-Feb-2019
Ticker: WES
ISIN: US9582541044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the Contribution Agreement and Mgmt Abstain Against
Agreement and Plan of Merger, dated as of
November 7, 2018 (the Merger Agreement), by
and among Anadarko Petroleum Corporation
(Anadarko), Anadarko E&P Onshore LLC,
Western Gas Equity Partners, LP (WGP),
Western Gas Equity Holdings, LLC, Western
Gas Partners, LP (WES), Western Gas
Holdings, LLC, Clarity Merger Sub, LLC and
other affiliates of Anadarko and WES. Due
to systems limitations, please see the
proxy statement for the full proposal.
2. To approve the adjournment of the special Mgmt For For
meeting, if necessary, to solicit
additional proxies if there are not
sufficient votes to approve the Merger
Agreement and the transactions contemplated
thereby, including the Merger, at the time
of the special meeting.
--------------------------------------------------------------------------------------------------------------------------
WILDHORSE RESOURCE DEVELOPMENT CORP. Agenda Number: 934917747
--------------------------------------------------------------------------------------------------------------------------
Security: 96812T102
Meeting Type: Special
Meeting Date: 31-Jan-2019
Ticker: WRD
ISIN: US96812T1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated October 29, 2018, by and among
Chesapeake Energy Corporation, Coleburn
Inc. and WildHorse (as amended from time to
time, the "merger agreement") and the
transactions contemplated by the merger
agreement, including the merger (the
"merger proposal").
2. To approve, on a non-binding, advisory Mgmt For For
basis, certain compensation that may be
paid or become payable to WildHorse's named
executive officers that is based on or
otherwise relates to the merger (the
"non-binding, advisory compensation
proposal").
3. To approve the adjournment of the WildHorse Mgmt For For
special meeting to a later date or dates,
if necessary or appropriate, to solicit
additional proxies in the event there are
not sufficient votes at the time of the
special meeting to approve the merger
proposal (the "adjournment proposal").
--------------------------------------------------------------------------------------------------------------------------
WILDHORSE RESOURCE DEVELOPMENT CORP. Agenda Number: 934921241
--------------------------------------------------------------------------------------------------------------------------
Security: 96812T102
Meeting Type: Special
Meeting Date: 31-Jan-2019
Ticker: WRD
ISIN: US96812T1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Agreement and Plan of Merger, Mgmt For For
dated October 29, 2018, by and among
Chesapeake Energy Corporation, Coleburn
Inc. and WildHorse (as amended from time to
time, the "merger agreement") and the
transactions contemplated by the merger
agreement, including the merger (the
"merger proposal").
2. To approve, on a non-binding, advisory Mgmt For For
basis, certain compensation that may be
paid or become payable to WildHorse's named
executive officers that is based on or
otherwise relates to the merger (the
"non-binding, advisory compensation
proposal").
3. To approve the adjournment of the WildHorse Mgmt For For
special meeting to a later date or dates,
if necessary or appropriate, to solicit
additional proxies in the event there are
not sufficient votes at the time of the
special meeting to approve the merger
proposal (the "adjournment proposal").
--------------------------------------------------------------------------------------------------------------------------
WILLIAMS PARTNERS, L.P. Agenda Number: 934859642
--------------------------------------------------------------------------------------------------------------------------
Security: 96949L105
Meeting Type: Consent
Meeting Date: 09-Aug-2018
Ticker: WPZ
ISIN: US96949L1052
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Consent to, and hereby approve, the Merger Mgmt For For
Agreement and the transactions contemplated
thereby, including the merger of Merger Sub
with and into Williams Partners, with
Williams Partners surviving as a
wholly-owned subsidiary of Williams. ("FOR"
= Approve, "AGAINST" = do not approve,
"ABSTAIN" votes will not be counted)
--------------------------------------------------------------------------------------------------------------------------
WORLDPAY INC. Agenda Number: 934967362
--------------------------------------------------------------------------------------------------------------------------
Security: 981558109
Meeting Type: Annual
Meeting Date: 16-May-2019
Ticker: WP
ISIN: US9815581098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Lee Adrean Mgmt For For
Mark Heimbouch Mgmt For For
Gary Lauer Mgmt For For
2. To approve, on an advisory basis, the Mgmt For For
compensation of the Company's named
executive officers.
3. To approve, on an advisory basis, the Mgmt 1 Year For
preferred frequency of stockholder advisory
votes on executive compensation.
4. To ratify the appointment of Deloitte & Mgmt For For
Touche LLP as the Company's independent
registered public accounting firm for the
fiscal year ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
XCERRA CORPORATION Agenda Number: 934863728
--------------------------------------------------------------------------------------------------------------------------
Security: 98400J108
Meeting Type: Special
Meeting Date: 30-Aug-2018
Ticker: XCRA
ISIN: US98400J1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve the Agreement and Plan of Mgmt For For
Merger, dated as of May 7, 2018, by and
among Cohu, Inc., Xavier Acquisition
Corporation and the Company.
2. To approve any proposal to adjourn the Mgmt For For
Special Meeting to a later date or dates if
necessary or appropriate to solicit
additional proxies if there are
insufficient votes to approve the Merger
Agreement at the time of the Special
Meeting.
3. To approve, by non-binding, advisory vote, Mgmt Against Against
compensation that will or may become
payable by Xcerra Corporation to its named
executive officers in connection with the
Merger.
Highland Opportunistic Credit Fund
--------------------------------------------------------------------------------------------------------------------------
ARCH COAL, INC. Agenda Number: 934945835
--------------------------------------------------------------------------------------------------------------------------
Security: 039380407
Meeting Type: Annual
Meeting Date: 02-May-2019
Ticker: ARCH
ISIN: US0393804077
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Patrick J. Bartels, Jr. Mgmt For For
James N. Chapman Mgmt For For
John W. Eaves Mgmt For For
Sherman K. Edmiston III Mgmt For For
Robert B. Hamill Mgmt For For
Holly Keller Koeppel Mgmt For For
Patrick A. Kriegshauser Mgmt For For
Richard A. Navarre Mgmt For For
2. Advisory approval of the Company's named Mgmt Against Against
executive officer compensation.
3. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as independent registered public
accounting firm for the fiscal year ending
December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
AVAYA HOLDINGS CORP. Agenda Number: 934978327
--------------------------------------------------------------------------------------------------------------------------
Security: 05351X101
Meeting Type: Annual
Meeting Date: 15-May-2019
Ticker: AVYA
ISIN: US05351X1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
William D. Watkins Mgmt For For
James M. Chirico, Jr. Mgmt For For
Stephan Scholl Mgmt For For
Susan L. Spradley Mgmt For For
Stanley J. Sutula, III Mgmt For For
Scott D. Vogel Mgmt For For
Jacqueline E. Yeaney Mgmt For For
2. To approve, on an advisory basis, our named Mgmt Against Against
executive officers' compensation.
3. To approve, on an advisory basis, the Mgmt 1 Year For
frequency of future advisory votes to
approve our named executive officers'
compensation.
4. To ratify the appointment of Mgmt For For
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for the fiscal year ending September
30, 2019.
--------------------------------------------------------------------------------------------------------------------------
MGM HOLDINGS INC. Agenda Number: 100001082
--------------------------------------------------------------------------------------------------------------------------
Security: 55303C101
Meeting Type: Annual and Special
Meeting Date: 17-Dec-2018
Ticker:
ISIN: US55303C1018
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
James Dondero Mgmt For For
David Krane Mgmt For For
Ann Mather Mgmt For For
Frederic G. Reynolds Mgmt For For
Nancy Tellem Mgmt For For
Kevin Ulrich Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
PENDRELL CORP Agenda Number: 934848132
--------------------------------------------------------------------------------------------------------------------------
Security: 70686R500
Meeting Type: Annual
Meeting Date: 06-Jul-2018
Ticker: PCOA
ISIN: US70686R5000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard P. Emerson Mgmt For For
Nicolas Kauser Mgmt For For
Craig O. McCaw Mgmt For For
Lee E. Mikles Mgmt For For
R. Gerard Salemme Mgmt For For
Stuart M. Sloan Mgmt For For
H. Brian Thompson Mgmt For For
2. Approval of an amendment to the Articles of Mgmt Abstain Against
Incorporation, as amended (the"Articles"),
to effect a reverse stock split at an
exchange ratio of 1-for-250.
3. Approval of an amendment to the Articles to Mgmt Abstain Against
authorize shareholders to approve by
non-unanimous consent any matter required
or permitted to be submitted to a
shareholder vote.
4. Approval of an amendment to the Articles to Mgmt Abstain Against
conform the "exclusive forum" provision
currently set forth in the Articles to
Section 23B.02.080 of the Revised Code of
Washington.
--------------------------------------------------------------------------------------------------------------------------
SSGA FUNDS Agenda Number: 934897123
--------------------------------------------------------------------------------------------------------------------------
Security: 857492706
Meeting Type: Special
Meeting Date: 18-Dec-2018
Ticker: GVMXX
ISIN: US8574927062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. DIRECTOR
John R. Costantino Mgmt For For
Michael A. Jessee Mgmt For For
Ellen M. Needham Mgmt For For
Donna M. Rapaccioli Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
VISTRA ENERGY CORP Agenda Number: 935012005
--------------------------------------------------------------------------------------------------------------------------
Security: 92840M102
Meeting Type: Annual
Meeting Date: 20-May-2019
Ticker: VST
ISIN: US92840M1027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Paul M. Barbas Mgmt For For
Cyrus Madon Mgmt For For
Geoffrey D. Strong Mgmt For For
Bruce E. Zimmerman Mgmt For For
2. Approve, on an advisory basis, named Mgmt For For
executive officer compensation.
3. Approve an amendment to the Vistra Energy Mgmt For For
Corp. 2016 Omnibus Incentive Plan (the
"2016 Incentive Plan") to increase the
number of shares available for issuance to
plan participants under the Company's 2016
Incentive Plan.
4. Ratify the selection of Deloitte & Touche Mgmt For For
LLP as our independent registered public
accounting firm for the year ending
December 31, 2018.
Highland iBoxx Senior Loan Fund
--------------------------------------------------------------------------------------------------------------------------
AVAYA HOLDINGS CORP. Agenda Number: 934978327
--------------------------------------------------------------------------------------------------------------------------
Security: 05351X101
Meeting Type: Annual
Meeting Date: 15-May-2019
Ticker: AVYA
ISIN: US05351X1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
William D. Watkins Mgmt For For
James M. Chirico, Jr. Mgmt For For
Stephan Scholl Mgmt For For
Susan L. Spradley Mgmt For For
Stanley J. Sutula, III Mgmt For For
Scott D. Vogel Mgmt For For
Jacqueline E. Yeaney Mgmt For For
2. To approve, on an advisory basis, our named Mgmt Against Against
executive officers' compensation.
3. To approve, on an advisory basis, the Mgmt 1 Year For
frequency of future advisory votes to
approve our named executive officers'
compensation.
4. To ratify the appointment of Mgmt For For
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for the fiscal year ending September
30, 2019.
--------------------------------------------------------------------------------------------------------------------------
SSGA FUNDS Agenda Number: 934897123
--------------------------------------------------------------------------------------------------------------------------
Security: 857492706
Meeting Type: Special
Meeting Date: 18-Dec-2018
Ticker: GVMXX
ISIN: US8574927062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. DIRECTOR
John R. Costantino Mgmt For For
Michael A. Jessee Mgmt For For
Ellen M. Needham Mgmt For For
Donna M. Rapaccioli Mgmt For For
* 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) Highland Funds I
By (Signature) /s/ Lauren Thedford
Name Lauren Thedford
Title Secretary
Date 08/19/2019