UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File No. 811-22559
First Trust Exchange-Traded Fund IV
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Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
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Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: October 31
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Date of reporting period: July 1, 2012 - June 30, 2013
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Form N-PX is to be used by a registered management investment company, other
than a small business investment company registered on Form N-5 (ss.ss. 239.24
and 274.5 of this chapter), to file reports with the Commission, not later than
August 31 of each year, containing the registrant's proxy voting record for the
most recent twelve-month period ended June 30, pursuant to section 30 of the
Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4).
The Commission may use the information provided on Form N-PX in its regulatory,
disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and
the Commission will make this information public. A registrant is not required
to respond to the collection of information contained in Form N-PX unless the
Form displays a currently valid Office of Management and Budget ("OMB") control
number. Please direct comments concerning the accuracy of the information
collection burden estimate and any suggestions for reducing the burden to the
Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington
D.C. 20549. The OMB has reviewed this collection of information under the
clearance requirements of 44 U.S.C. Section 3507.
Item 1. Proxy Voting Record
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FIRST TRUST NORTH AMERICAN ENERGY INFRASTRUCTURE FUND
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Northeast Utilities
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Ticker NU
Security ID on Ballot 664397106
Meeting Date 31-Oct-12
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Richard H. Booth For For No
Management Elect Director John S. Clarkeson For For No
Management Elect Director Cotton M. Cleveland For For No
Management Elect Director Sanford Cloud, Jr. For For No
Management Elect Director James S. DiStasio For For No
Management Elect Director Francis A. Doyle For For No
Management Elect Director Charles K. Gifford For For No
Management Elect Director Paul A. La Camera For For No
Management Elect Director Kenneth R. Leibler For For No
Management Elect Director Thomas J. May For For No
Management Elect Director Charles W. Shivery For For No
Management Elect Director William C. Van Faasen For For No
Management Elect Director Frederica M. Williams For For No
Management Elect Director Dennis R. Wraase For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Management Amend Omnibus Stock Plan For For No
Management Ratify Auditors For For No
Enbridge Income Fund Holdings Inc.
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Ticker ENF
Security ID on Ballot 29251R105
Meeting Date 07-Dec-12
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Approve Transaction Resolution Re: Acquisition by For For No
Enbridge Income Fund ("Fund") of Renewable Assets
and the Crude Storage Assets of Enbridge Inc.
("Enbridge")
UGI Corporation
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Ticker UGI
Security ID on Ballot 902681105
Meeting Date 24-Jan-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Lon R. Greenberg For For No
Management Elect Director Marvin O. Schlanger For For No
Management Elect Director Anne Pol For For No
Management Elect Director Ernest E. Jones For For No
Management Elect Director John L. Walsh For For No
Management Elect Director Roger B. Vincent For For No
Management Elect Director M. Shawn Puccio For For No
Management Elect Director Richard W. Gochnauer For For No
Management Elect Director Frank S. Hermance For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Management Approve Omnibus Stock Plan For For No
Management Ratify Auditors For For No
ITC Holdings Corp.
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Ticker ITC
Security ID on Ballot 465685105
Meeting Date 16-Apr-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Approve Merger Agreement For For No
Management Increase Authorized Common Stock For For No
Management Issue Shares in Connection with Acquisition For For No
Management Advisory Vote on Golden Parachutes For Against Yes
Management Adjourn Meeting For For No
Exelon Corporation
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Ticker EXC
Security ID on Ballot 30161N101
Meeting Date 23-Apr-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Anthony K. Anderson For For No
Management Elect Director Ann C. Berzin For For No
Management Elect Director John A. Canning, Jr. For For No
Management Elect Director Christopher M. Crane For For No
Management Elect Director Yves C. de Balmann For For No
Management Elect Director Nicholas DeBenedictis For For No
Management Elect Director Nelson A. Diaz For For No
Management Elect Director Sue L. Gin For For No
Management Elect Director Paul L. Joskow For For No
Management Elect Director Robert J. Lawless For For No
Management Elect Director Richard W. Mies For For No
Management Elect Director William C. Richardson For For No
Management Elect Director Thomas J. Ridge For For No
Management Elect Director John W. Rogers, Jr. For For No
Management Elect Director Mayo A. Shattuck, III For For No
Management Elect Director Stephen D. Steinour For For No
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Management Amend Qualified Employee Stock Purchase Plan For For No
Page 1
NuStar GP Holdings, LLC
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Ticker NSH
Security ID on Ballot 67059L102
Meeting Date 24-Apr-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director William E. Greehey For For No
Management Elect Director Jelynne LeBlanc-Burley For For No
Management Ratify Auditors For For No
CenterPoint Energy, Inc.
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Ticker CNP
Security ID on Ballot 15189T107
Meeting Date 25-Apr-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Milton Carroll For For No
Management Elect Director Michael P. Johnson For For No
Management Elect Director Janiece M. Longoria For For No
Management Elect Director David M. McClanahan For For No
Management Elect Director Susan O. Rheney For For No
Management Elect Director R. A. Walker For For No
Management Elect Director Peter S. Wareing For For No
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Magellan Midstream Partners, L.P.
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Ticker MMP
Security ID on Ballot 559080106
Meeting Date 25-Apr-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Walter R. Arnheim For For No
Management Elect Director Patrick C. Eilers For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Management Ratify Auditors For For No
TransCanada Corporation
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Ticker TRP
Security ID on Ballot 89353D107
Meeting Date 26-Apr-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Kevin E. Benson For For No
Management Elect Director Derek H. Burney For For No
Management Elect Director Paule Gauthier For For No
Management Elect Director Russell K. Girling For For No
Management Elect Director S. Barry Jackson For For No
Management Elect Director Paul L. Joskow For For No
Management Elect Director Paula Rosput Reynolds For For No
Management Elect Director Mary Pat Salomone For For No
Management Elect Director W. Thomas Stephens For For No
Management Elect Director D. Michael G. Stewart For For No
Management Elect Director Richard E. Waugh For For No
Management Approve KPMG LLP as Auditors and Authorize Board to For For No
Fix Their Remuneration
Management Amend Stock Option Plan For For No
Management Approve Shareholder Rights Plan For For No
Management Advisory Vote on Executive Compensation Approach For For No
Spectra Energy Corp
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Ticker SE
Security ID on Ballot 847560109
Meeting Date 30-Apr-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director William T. Esrey For For No
Management Elect Director Gregory L. Ebel For For No
Management Elect Director Austin A. Adams For For No
Management Elect Director Joseph Alvarado For For No
Management Elect Director Pamela L. Carter For For No
Management Elect Director F. Anthony Comper For For No
Management Elect Director Peter B. Hamilton For For No
Management Elect Director Dennis R. Hendrix For For No
Management Elect Director Michael McShane For For No
Management Elect Director Michael G. Morris For For No
Management Elect Director Michael E.J. Phelps For For No
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Share Holder Report on Lobbying Payments and Policy Against For Yes
Share Holder Report on Methane Emissions Against For Yes
Northeast Utilities
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Ticker NU
Security ID on Ballot 664397106
Meeting Date 01-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Richard H. Booth For For No
Management Elect Director John S. Clarkeson For For No
Management Elect Director Cotton M. Cleveland For For No
Management Elect Director Sanford Cloud, Jr. For For No
Management Elect Director James S. DiStasio For For No
Management Elect Director Francis A. Doyle For For No
Management Elect Director Charles K. Gifford For For No
Management Elect Director Paul A. La Camera For For No
Management Elect Director Kenneth R. Leibler For For No
Management Elect Director Thomas J. May For For No
Management Elect Director Charles W. Shivery For For No
Management Elect Director William C. Van Faasen For For No
Management Elect Director Frederica M. Williams For For No
Management Elect Director Dennis R. Wraase For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Management Ratify Auditors For For No
Page 2
Duke Energy Corporation
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Ticker DUK
Security ID on Ballot 26441C204
Meeting Date 02-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director William Barnet, III For For No
Management Elect Director G. Alex Bernhardt, Sr. For For No
Management Elect Director Michael G. Browning For For No
Management Elect Director Harris E. DeLoach, Jr. For For No
Management Elect Director Daniel R. DiMicco For For No
Management Elect Director John H. Forsgren For For No
Management Elect Director Ann Maynard Gray For For No
Management Elect Director James H. Hance, Jr. For For No
Management Elect Director John T. Herron For For No
Management Elect Director James B. Hyler, Jr. For For No
Management Elect Director E. Marie McKee For For No
Management Elect Director E. James Reinsch For For No
Management Elect Director James T. Rhodes For For No
Management Elect Director James E. Rogers For For No
Management Elect Director Carlos A. Saladrigas For For No
Management Elect Director Philip R. Sharp For For No
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Management Amend Executive Incentive Bonus Plan For For No
Share Holder Provide Right to Act by Written Consent Against For Yes
Share Holder Require a Majority Vote for the Election of Against For Yes
Directors
Wisconsin Energy Corporation
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Ticker WEC
Security ID on Ballot 976657106
Meeting Date 02-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director John F. Bergstrom For For No
Management Elect Director Barbara L. Bowles For For No
Management Elect Director Patricia W. Chadwick For For No
Management Elect Director Curt S. Culver For For No
Management Elect Director Thomas J. Fischer For For No
Management Elect Director Gale E. Klappa For For No
Management Elect Director Henry W. Knueppel For For No
Management Elect Director Ulice Payne, Jr. For For No
Management Elect Director Mary Ellen Stanek For For No
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Dominion Resources, Inc.
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Ticker D
Security ID on Ballot 25746U109
Meeting Date 03-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director William P. Barr For For No
Management Elect Director Peter W. Brown For For No
Management Elect Director Helen E. Dragas For For No
Management Elect Director James O. Ellis, Jr. For For No
Management Elect Director Thomas F. Farrell, II For For No
Management Elect Director John W. Harris For Against Yes
Management Elect Director Robert S. Jepson, Jr. For For No
Management Elect Director Mark J. Kington For For No
Management Elect Director Pamela J. Royal For For No
Management Elect Director Robert H. Spilman, Jr. For For No
Management Elect Director Michael E. Szymanczyk For For No
Management Elect Director David A. Wollard For For No
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Management Provide Right to Call Special Meeting For For No
Share Holder Report on Coal Use from Mountaintop Removal Mining Against Against No
Share Holder Include Sustainability as a Performance Measure for Against Against No
Senior Executive Compensation
Share Holder Minimize Pool Storage of Spent Nuclear Fuel Against Against No
Share Holder Report on Financial Risks of Climate Change Against For Yes
Enbridge Income Fund Holdings Inc.
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Ticker ENF
Security ID on Ballot 29251R105
Meeting Date 06-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Approve PricewaterhouseCoopers LLP as Auditors and For For No
Authorize Board to Fix Their Remuneration
Management Elect Director Richard H. Auchinleck For For No
Management Elect Director J. Richard Bird For For No
Management Elect Director M. Elizabeth Cannon For For No
Management Elect Director Charles W. Fischer For For No
Management Elect Director E.F.H. (Harry) Roberts For For No
Management Elect Director Gordon G. Tallman For For No
Management Amend Trust Indenture For For No
Keyera Corp.
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Ticker KEY
Security ID on Ballot 493271100
Meeting Date 07-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Ratify Deloitte LLP as Auditors For For No
Management Elect Director James V. Bertram For For No
Management Elect Director Robert B. Catell For For No
Management Elect Director Michael B.C. Davies For For No
Management Elect Director Douglas J. Haughey For For No
Management Elect Director Nancy M. Laird For For No
Management Elect Director Donald J. Nelson For For No
Management Elect Director H. Neil Nichols For For No
Management Elect Director Michael J. Norris For For No
Management Elect Director William R. Stedman For For No
Management Approve Advance Notice Policy For For No
Management Authorize Two New Classes of Preferred Shares For For No
Page 3
Kinder Morgan, Inc.
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Ticker KMI
Security ID on Ballot 49456B101
Meeting Date 07-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Richard D. Kinder For For No
Management Elect Director C. Park Shaper For For No
Management Elect Director Steven J. Kean For For No
Management Elect Director Anthony W. Hall, Jr. For For No
Management Elect Director Deborah A. Macdonald For For No
Management Elect Director Michael Miller For For No
Management Elect Director Michael C. Morgan For For No
Management Elect Director Fayez Sarofim For For No
Management Elect Director Joel V. Staff For Withhold Yes
Management Elect Director John Stokes For For No
Management Elect Director Robert F. Vagt For For No
Management Ratify Auditors For For No
Emera Incorporated
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Ticker EMA
Security ID on Ballot 290876101
Meeting Date 08-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Robert S. Briggs For For No
Management Elect Director Sylvia D. Chrominska For For No
Management Elect Director Allan L. Edgeworth For For No
Management Elect Director James D. Eisenhauer For For No
Management Elect Director Christopher G. Huskilson For For No
Management Elect Director B. Lynn Loewen For For No
Management Elect Director John T. McLennan For For No
Management Elect Director Donald A. Pether For For No
Management Elect Director Andrea S. Rosen For For No
Management Elect Director Richard P. Sergel For For No
Management Elect Director M. Jacqueline Sheppard For For No
Management Ratify Ernst & Young LLP as Auditors For For No
Management Authorize Board to Fix Remuneration of Auditors For For No
Management Amend Employee Common Share Purchase Plan For For No
Enbridge Inc.
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Ticker ENB
Security ID on Ballot 29250N105
Meeting Date 08-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director David A. Arledge For For No
Management Elect Director James J. Blanchard For For No
Management Elect Director J. Lorne Braithwaite For For No
Management Elect Director J. Herb England For For No
Management Elect Director Charles W. Fischer For For No
Management Elect Director V. Maureen Kempston Darkes For For No
Management Elect Director David A. Leslie For For No
Management Elect Director Al Monaco For For No
Management Elect Director George K. Petty For For No
Management Elect Director Charles E. Shultz For For No
Management Elect Director Dan C. Tutcher For For No
Management Elect Director Catherine L. Williams For For No
Management Ratify PricewaterhouseCoopers LLP as Auditors For For No
Management Advisory Vote on Executive Compensation Approach For For No
Veresen Inc.
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Ticker VSN
Security ID on Ballot 92340R106
Meeting Date 08-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Donald L. Althoff For For No
Management Elect Director Bertrand A. Valdman For For No
Management Elect Director Henry W. Sykes For For No
Management Elect Director Stephen W.C. Mulherin For For No
Management Elect Director Rebecca A. McDonald For For No
Management Elect Director Robert J. Iverach For For No
Management Elect Director Maureen E. Howe For For No
Management Elect Director J. Paul Charron For For No
Management Ratify PricewaterhouseCoopers LLP as Auditors For For No
Fortis Inc.
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Ticker FTS
Security ID on Ballot 349553107
Meeting Date 09-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Peter E. Case For For No
Management Elect Director Frank J. Crothers For For No
Management Elect Director Ida J. Goodreau For For No
Management Elect Director Douglas J. Haughey For For No
Management Elect Director H. Stanley Marshall For For No
Management Elect Director John S. McCallum For For No
Management Elect Director Harry McWatters For For No
Management Elect Director Ronald D. Munkley For For No
Management Elect Director David G. Norris For For No
Management Elect Director Michael A. Pavey For For No
Management Approve Ernst & Young LLP as Auditors and Authorize For For No
Board to Fix Their Remuneration
Management Advisory Vote on Executive Compensation Approach For For No
Page 4
Sempra Energy
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Ticker SRE
Security ID on Ballot 816851109
Meeting Date 09-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Alan L. Boeckmann For For No
Management Elect Director James G. Brocksmith, Jr. For For No
Management Elect Director William D. Jones For For No
Management Elect Director William G. Ouchi For For No
Management Elect Director Debra L. Reed For For No
Management Elect Director William C. Rusnack For For No
Management Elect Director William P. Rutledge For For No
Management Elect Director Lynn Schenk For For No
Management Elect Director Jack T. Taylor For For No
Management Elect Director Luis M. Tellez For For No
Management Elect Director James C. Yardley For For No
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Management Approve Omnibus Stock Plan For For No
Share Holder Require Independent Board Chairman Against Against No
Pembina Pipeline Corporation
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Ticker PPL
Security ID on Ballot 706327103
Meeting Date 10-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Grant D. Billing, Thomas W. Buchanan, Allan L. For For No
Edgeworth, Randall J. Findlay, Lorne B. Gordon,
David M.B. LeGresley, Robert B. Michaleski, Leslie
A. O'Donoghue and Jeffrey T. Smith as Directors
Management Elect Director Grant D. Billing For For No
Management Elect Director Thomas W. Buchanan For For No
Management Elect Director Allan L. Edgeworth For For No
Management Elect Director Randall J. Findlay For For No
Management Elect Director Lorne B. Gordon For For No
Management Elect Director David M.B. LeGresley For For No
Management Elect Director Robert B. Michaleski For For No
Management Elect Director Leslie A. O'Donoghue For For No
Management Elect Director Jeffrey T. Smith For For No
Management Approve KPMG LLP as Auditors and Authorize Board to For For No
Fix Their Remuneration
Management Advisory Vote on Executive Compensation Approach For For No
Management Authorize New Class of Preferred Stock For For No
Management Amend Articles Re: Change Designation of Preferred For For No
Shares Series A to Class B Preferred Shares and
Amend Terms of Preferred Shares
Management Approve Increase in Size of Board from Eleven to For For No
Thirteen
Management Approve Shareholder Rights Plan For For No
Questar Corporation
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Ticker STR
Security ID on Ballot 748356102
Meeting Date 10-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Teresa Beck For For No
Management Elect Director R. D. Cash For For No
Management Elect Director Laurence M. Downes For For No
Management Elect Director Christopher A. Helms For For No
Management Elect Director Ronald W. Jibson For For No
Management Elect Director Keith O. Rattie For For No
Management Elect Director Harris H. Simmons For For No
Management Elect Director Bruce A. Williamson For For No
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
NiSource Inc.
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Ticker NI
Security ID on Ballot 65473P105
Meeting Date 14-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Richard A. Abdoo For For No
Management Elect Director Aristides S. Candris For For No
Management Elect Director Sigmund L. Cornelius For For No
Management Elect Director Michael E. Jesanis For For No
Management Elect Director Marty R. Kittrell For For No
Management Elect Director W. Lee Nutter For For No
Management Elect Director Deborah S. Parker For For No
Management Elect Director Robert C. Skaggs, Jr. For For No
Management Elect Director Teresa A. Taylor For For No
Management Elect Director Richard L. Thompson For For No
Management Elect Director Carolyn Y. Woo For For No
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Share Holder Provide Right to Act by Written Consent Against Against No
Share Holder Adopt Compensation Benchmarking Policy Against Against No
ITC Holdings Corp.
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Ticker ITC
Security ID on Ballot 465685105
Meeting Date 15-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Christopher H. Franklin For For No
Management Elect Director Edward G. Jepsen For For No
Management Elect Director William J. Museler For For No
Management Elect Director Hazel R. O'Leary For For No
Management Elect Director Thomas G. Stephens For For No
Management Elect Director G. Bennett Stewart, III For For No
Management Elect Director Lee C. Stewart For For No
Management Elect Director J.C. Watts, Jr. For For No
Management Elect Director Joseph L. Welch For For No
Management Advisory Vote to Ratify Named Executive Officers' For Against Yes
Compensation
Management Ratify Auditors For For No
Share Holder Require a Majority Vote for the Election of Against For Yes
Directors
Page 5
ATCO Ltd.
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Ticker ACO.X
Security ID on Ballot 046789400
Meeting Date 16-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Robert T. Booth For For No
Management Elect Director Bertrand P. Collomb For For No
Management Elect Director David A. Dodge For For No
Management Elect Director Linda A. Heathcott For For No
Management Elect Director Helmut M. Neldner For For No
Management Elect Director Michael R.P. Rayfield For For No
Management Elect Director Robert J. Routs For For No
Management Elect Director Nancy C. Southern For For No
Management Elect Director Ronald D Southern For For No
Management Elect Director Charles W. Wilson For For No
Management Ratify PricewaterhouseCoopers LLP as Auditors For For No
Management Increase Authorized Class I Non-Voting Shares to For For No
300,000,000
The Williams Companies, Inc.
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Ticker WMB
Security ID on Ballot 969457100
Meeting Date 16-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Alan S. Armstrong For For No
Management Elect Director Joseph R. Cleveland For For No
Management Elect Director Kathleen B. Cooper For For No
Management Elect Director John A. Hagg For For No
Management Elect Director Juanita H. Hinshaw For For No
Management Elect Director Ralph Izzo For For No
Management Elect Director Frank T. MacInnis For For No
Management Elect Director Steven W. Nance For For No
Management Elect Director Murray D. Smith For For No
Management Elect Director Janice D. Stoney For For No
Management Elect Director Laura A. Sugg For For No
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
ONEOK, Inc.
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Ticker OKE
Security ID on Ballot 682680103
Meeting Date 22-May-13
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MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director James C. Day For For No
Management Elect Director Julie H. Edwards For For No
Management Elect Director William L. Ford For For No
Management Elect Director John W. Gibson For For No
Management Elect Director Bert H. Mackie For For No
Management Elect Director Steven J. Malcolm For For No
Management Elect Director Jim W. Mogg For For No
Management Elect Director Pattye L. Moore For For No
Management Elect Director Gary D. Parker For For No
Management Elect Director Eduardo A. Rodriguez For For No
Management Ratify Auditors For For No
Management Amend Omnibus Stock Plan For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Share Holder Report on Methane Emissions Against For Yes
The Southern Company
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Ticker SO
Security ID on Ballot 842587107
Meeting Date 22-May-13
--------------------------------------------------------------------------------
MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Juanita Powell Baranco For For No
Management Elect Director Jon A. Boscia For For No
Management Elect Director Henry A. 'Hal' Clark, III For For No
Management Electi Director Thomas A. Fanning For For No
Management Elect Director David J. Grain For For No
Management Elect Director H. William Habermeyer, Jr. For For No
Management Elect Director Veronica M. Hagen For For No
Management Elect Director Warren A. Hood, Jr. For For No
Management Elect Director Donald M. James For For No
Management Elect Director Dale E. Klein For For No
Management Elect Director William G. Smith, Jr. For For No
Management Elect Director Steven R. Specker For For No
Management Elect Director E. Jenner Wood, III For Against Yes
Management Ratify Auditors For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Management Alter Mandatory Retirement Policy for Directors For For No
Management Reduce Supermajority Vote Requirement For For No
Management Reduce Supermajority Vote Requirement For For No
NextEra Energy, Inc.
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Ticker NEE
Security ID on Ballot 65339F101
Meeting Date 23-May-13
--------------------------------------------------------------------------------
MANAGEMENT VOTE FOR/AGAINST
PROPONENT PROPOSAL RECOMMENDATION INSTRUCTION MANAGEMENT
Management Elect Director Sherry S. Barrat For For No
Management Elect Director Robert M. Beall, II For For No
Management Elect Director James L. Camaren For For No
Management Elect Director Kenneth B. Dunn For For No
Management Elect Director Lewis Hay, III For For No
Management Elect Director Toni Jennings For For No
Management Elect Director James L. Robo For For No
Management Elect Director Rudy E. Schupp For For No
Management Elect Director John L. Skolds For For No
Management Elect Director William H. Swanson For For No
Management Elect Director Michael H. Thaman For For No
Management Elect Director Hansel E. Tookes, II For For No
Management Ratify Auditors For For No
Management Approve Executive Incentive Bonus Plan For For No
Management Advisory Vote to Ratify Named Executive Officers' For For No
Compensation
Share Holder Minimize Pool Storage of Spent Nuclear Fuel Against Against No
Page 6
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FIRST TRUST HIGH YIELD LONG/SHORT ETF
--------------------------------------------------------------------------------
The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
Page 7
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FIRST TRUST SENIOR LOAN FUND
--------------------------------------------------------------------------------
The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
Page 8
SIGNATURES
[See General Instruction F]
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) First Trust Exchange-Traded Fund IV
-----------------------------------------
By (Signature and Title)* /s/ Mark R. Bradley
---------------------------------
Mark R. Bradley, President
Date August 6, 2013
-------------------------
* Print the name and title of each signing officer under his or her signature.