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, 2013 - June 30, 2014
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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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National Grid plc
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Ticker NG.
Primary Security ID G6375K151
Meeting Date 29-Jul-13
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Accept Financial Statements and Statutory Reports For For Yes No
Management Approve Final Dividend For For Yes No
Management Re-elect Sir Peter Gershon as Director For For Yes No
Management Re-elect Steve Holliday as Director For For Yes No
Management Re-elect Andrew Bonfield as Director For For Yes No
Management Re-elect Tom King as Director For For Yes No
Management Re-elect Nick Winser as Director For For Yes No
Management Re-elect Philip Aiken as Director For For Yes No
Management Re-elect Nora Brownell as Director For For Yes No
Management Elect Jonathan Dawson as Director For For Yes No
Management Re-elect Paul Golby as Director For For Yes No
Management Re-elect Ruth Kelly as Director For For Yes No
Management Re-elect Maria Richter as Director For For Yes No
Management Elect Mark Williamson as Director For For Yes No
Management Reappoint PricewaterhouseCoopers LLP as Auditors For For Yes No
Management Authorise Board to Fix Remuneration of Auditors For For Yes No
Management Approve Remuneration Report For For Yes No
Management Authorise Issue of Equity with Pre-emptive Rights For For Yes No
Management Authorise Issue of Equity without Pre-emptive Rights For For Yes No
Management Authorise Market Purchase of Ordinary Shares For For Yes No
Management Authorise the Company to Call EGM with Two Weeks' For For Yes No
Notice
Enterprise Products Partners L.P.
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Ticker EPD
Primary Security ID 293792107
Meeting Date 30-Sep-13
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Amend Omnibus Stock Plan For For Yes No
Management Amend Nonqualified Employee Stock Purchase Plan For For Yes No
Plains All American Pipeline LP
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Ticker PAA
Primary Security ID 726503105
Meeting Date 19-Nov-13
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Approve Omnibus Stock Plan For For Yes No
Management Adjourn Meeting For For Yes No
The Laclede Group, Inc.
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Ticker LG
Primary Security ID 505597104
Meeting Date 30-Jan-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Edward L. Glotzbach For For Yes No
Management Elect Director W. Stephen Maritz For For Yes No
Management Elect Director John P. Stupp, Jr. For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Management Ratify Auditors For For Yes No
UGI Corporation
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Ticker UGI
Primary Security ID 902681105
Meeting Date 30-Jan-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Lon R. Greenberg For For Yes No
Management Elect Director Marvin O. Schlanger For For Yes No
Management Elect Director Anne Pol For For Yes No
Management Elect Director Ernest E. Jones For For Yes No
Management Elect Director John L. Walsh For For Yes No
Management Elect Director Roger B. Vincent For For Yes No
Management Elect Director M. Shawn Puccio For For Yes No
Management Elect Director Richard W. Gochnauer For For Yes No
Management Elect Director Frank S. Hermance For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Atmos Energy Corporation
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Ticker ATO
Primary Security ID 049560105
Meeting Date 05-Feb-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Robert W. Best For For Yes No
Management Elect Director Kim R. Cocklin For For Yes No
Management Elect Director Richard W. Douglas For For Yes No
Management Elect Director Ruben E. Esquivel For For Yes No
Management Elect Director Richard K. Gordon For For Yes No
Management Elect Director Robert C. Grable For For Yes No
Management Elect Director Thomas C. Meredith For For Yes No
Management Elect Director Nancy K. Quinn For For Yes No
Management Elect Director Richard A. Sampson For For Yes No
Management Elect Director Stephen R. Springer For For Yes No
Management Elect Director Richard Ware, II For For Yes No
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Spectra Energy Corp
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Ticker SE
Primary Security ID 847560109
Meeting Date 15-Apr-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Gregory L. Ebel For For Yes No
Management Elect Director Austin A. Adams For For Yes No
Management Elect Director Joseph Alvarado For For Yes No
Management Elect Director Pamela L. Carter For For Yes No
Management Elect Director Clarence P. Cazalot, Jr. For For Yes No
Management Elect Director F. Anthony Comper For For Yes No
Management Elect Director Peter B. Hamilton For For Yes No
Management Elect Director Michael McShane For For Yes No
Management Elect Director Michael G. Morris For For Yes No
Management Elect Director Michael E. J. Phelps For For Yes No
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Share Holder Report on Political Contributions Against For Yes Yes
Share Holder Report on Methane Emissions Against For Yes Yes
American Electric Power Company, Inc.
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Ticker AEP
Primary Security ID 025537101
Meeting Date 22-Apr-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Nicholas K. Akins For For Yes No
Management Elect Director David J. Anderson For For Yes No
Management Elect Director J. Barnie Beasley, Jr. For For Yes No
Management Elect Director Ralph D. Crosby, Jr. For For Yes No
Management Elect Director Linda A. Goodspeed For For Yes No
Management Elect Director Thomas E. Hoaglin For For Yes No
Management Elect Director Sandra Beach Lin For For Yes No
Management Elect Director Richard C. Notebaert For For Yes No
Management Elect Director Lionel L. Nowell, III For For Yes No
Management Elect Director Stephen S. Rasmussen For For Yes No
Management Elect Director Oliver G. Richard, III For For Yes No
Management Elect Director Sara Martinez Tucker For For Yes No
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Magellan Midstream Partners, L.P.
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Ticker MMP
Primary Security ID 559080106
Meeting Date 24-Apr-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director James C. Kempner For For Yes No
Management Elect Director Michael N. Mears For For Yes No
Management Elect Director James R. Montague For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Management Ratify Auditors For For Yes No
Compensation
SCANA Corporation
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Ticker SCG
Primary Security ID 80589M102
Meeting Date 24-Apr-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director John F.A.V. Cecil For For Yes No
Management Elect Director D. Maybank Hagood For For Yes No
Management Elect Director Alfredo Trujillo For For Yes No
Management Ratify Auditors For For Yes No
Management Declassify the Board of Directors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Duke Energy Corporation
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Ticker DUK
Primary Security ID 26441C204
Meeting Date 01-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director G. Alex Bernhardt, Sr. For For Yes No
Management Elect Director Michael G. Browning For For Yes No
Management Elect Director Harris E. DeLoach, Jr. For For Yes No
Management Elect Director Daniel R. DiMicco For For Yes No
Management Elect Director John H. Forsgren For For Yes No
Management Elect Director Lynn J. Good For For Yes No
Management Elect Director Ann Maynard Gray For For Yes No
Management Elect Director James H. Hance, Jr. For For Yes No
Management Elect Director John T. Herron For For Yes No
Management Elect Director James B. Hyler, Jr. For For Yes No
Management Elect Director William E. Kennard For For Yes No
Management Elect Director E. Marie McKee For For Yes No
Management Elect Director E. James Reinsch For For Yes No
Management Elect Director James T. Rhodes For For Yes No
Management Elect Director Carlos A. Saladrigas For For Yes No
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Management Provide Right to Act by Less than Unanimous Written For For Yes No
Consent
Share Holder Amend Articles/Bylaws/Charter -- Call Special Against For Yes Yes
Meetings
Share Holder Report on Political Contributions Against For Yes Yes
Northeast Utilities
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Ticker NU
Primary Security ID 664397106
Meeting Date 01-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Richard H. Booth For For Yes No
Management Elect Director John S. Clarkeson For For Yes No
Management Elect Director Cotton M. Cleveland For For Yes No
Management Elect Director Sanford Cloud, Jr. For For Yes No
Management Elect Director James S. DiStasio For For Yes No
Management Elect Director Francis A. Doyle For For Yes No
Management Elect Director Charles K. Gifford For For Yes No
Management Elect Director Paul A. La Camera For For Yes No
Management Elect Director Kenneth R. Leibler For For Yes No
Management Elect Director Thomas J. May For For Yes No
Management Elect Director William C. Van Faasen For For Yes No
Management Elect Director Frederica M. Williams For For Yes No
Management Elect Director Dennis R. Wraase For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Management Ratify Auditors For For Yes No
TransCanada Corporation
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Ticker TRP
Primary Security ID 89353D107
Meeting Date 02-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Kevin E. Benson For For Yes No
Management Elect Director Derek H. Burney For For Yes No
Management Elect Director Paule Gauthier For For Yes No
Management Elect Director Russell K. Girling For For Yes No
Management Elect Director S. Barry Jackson For For Yes No
Management Elect Director Paula Rosput Reynolds For For Yes No
Management Elect Director John Richels For For Yes No
Management Elect Director Mary Pat Salomone For For Yes No
Management Elect Director D. Michael G. Stewart For For Yes No
Management Elect Director Siim A. Vanaselja For For Yes No
Management Elect Director Richard E. Waugh For For Yes No
Management Approve KPMG LLP as Auditors and Authorize Board to For For Yes No
Fix Their Remuneration
Management Advisory Vote on Executive Compensation Approach For For Yes No
Management Elect Director Kevin E. Benson For For Yes No
Management Elect Director Derek H. Burney For For Yes No
Management Elect Director Paule Gauthier For For Yes No
Management Elect Director Russell K. Girling For For Yes No
Management Elect Director S. Barry Jackson For For Yes No
Management Elect Director Paula Rosput Reynolds For For Yes No
Management Elect Director John Richels For For Yes No
Management Elect Director Mary Pat Salomone For For Yes No
Management Elect Director D. Michael G. Stewart For For Yes No
Management Elect Director Siim A. Vanaselja For For Yes No
Management Elect Director Richard E. Waugh For For Yes No
Management Approve KPMG LLP as Auditors and Authorize Board to For For Yes No
Fix Their Remuneration
Management Advisory Vote on Executive Compensation Approach For For Yes No
Wisconsin Energy Corporation
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Ticker WEC
Primary Security ID 976657106
Meeting Date 02-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director John F. Bergstrom For For Yes No
Management Elect Director Barbara L. Bowles For For Yes No
Management Elect Director Patricia W. Chadwick For For Yes No
Management Elect Director Curt S. Culver For For Yes No
Management Elect Director Thomas J. Fischer For For Yes No
Management Elect Director Gale E. Klappa For For Yes No
Management Elect Director Henry W. Knueppel For For Yes No
Management Elect Director Ulice Payne, Jr. For For Yes No
Management Elect Director Mary Ellen Stanek For For Yes No
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Enbridge Income Fund Holdings Inc.
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Ticker ENF
Primary Security ID 29251R105
Meeting Date 05-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Approve PricewaterhouseCoopers LLP as Auditors and For For Yes No
Authorize Board to Fix Their Remuneration
Management Elect Director Richard H. Auchinleck For For Yes No
Management Elect Director J. Richard Bird For For Yes No
Management Elect Director M. Elizabeth Cannon For For Yes No
Management Elect Director Charles W. Fischer For For Yes No
Management Elect Director Brian E. Frank For For Yes No
Management Elect Director E.F.H. (Harry) Roberts For For Yes No
Management Elect Director Bruce G. Waterman For For Yes No
Management Approve Increase in Maximum Number of Directors from For For Yes No
Seven to Ten
Management Approve Shareholder Rights Plan For For Yes No
Keyera Corp.
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Ticker KEY
Primary Security ID 493271100
Meeting Date 06-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Ratify Deloitte LLP as Auditors For For Yes No
Management Elect Director James V. Bertram For For Yes No
Management Elect Director Robert B. Catell For For Yes No
Management Elect Director Douglas J. Haughey For For Yes No
Management Elect Director Nancy M. Laird For For Yes No
Management Elect Director Donald J. Nelson For For Yes No
Management Elect Director H. Neil Nichols For For Yes No
Management Elect Director Michael J. Norris For For Yes No
Management Elect Director Thomas O'Connor For For Yes No
Management Elect Director William R. Stedman For For Yes No
Management Approve Shareholder Rights Plan For For Yes No
Management Advisory Vote on Executive Compensation Approach For For Yes No
NRG Yield, Inc.
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Ticker NYLD
Primary Security ID 62942X108
Meeting Date 06-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director David Crane For Withhold Yes Yes
Management Elect Director John F. Chlebowski For For Yes No
Management Elect Director Kirkland B. Andrews For Withhold Yes Yes
Management Elect Director Brian R. Ford For For Yes No
Management Elect Director Mauricio Gutierrez For Withhold Yes Yes
Management Elect Director Ferrell P. McClean For For Yes No
Management Elect Director Christopher S. Sotos For Withhold Yes Yes
Management Ratify Auditors For For Yes No
Dominion Resources, Inc.
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Ticker D
Primary Security ID 25746U109
Meeting Date 07-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director William P. Barr For For Yes No
Management Elect Director Peter W. Brown For For Yes No
Management Elect Director Helen E. Dragas For For Yes No
Management Elect Director James O. Ellis, Jr. For For Yes No
Management Elect Director Thomas F. Farrell, II For For Yes No
Management Elect Director John W. Harris For Against Yes Yes
Management Elect Director Mark J. Kington For For Yes No
Management Elect Director Pamela J. Royal For For Yes No
Management Elect Director Robert H. Spilman, Jr. For For Yes No
Management Elect Director Michael E. Szymanczyk For For Yes No
Management Elect Director David A. Wollard For For Yes No
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Management Approve Omnibus Stock Plan For For Yes No
Share Holder Stock Retention/Holding Period Against For Yes Yes
Share Holder Report on Financial and Physical Risks of Climate Against For Yes Yes
Change
Share Holder Report on Methane Emissions Management and Reduction Against For Yes Yes
Targets
Share Holder Report on Lobbying Payments and Policy Against Against Yes No
Share Holder Report on Environmental Impacts of Biomass and Assess Against For Yes Yes
Risks
Share Holder Adopt Quantitative GHG Goals for Products and Against For Yes Yes
Operations
Emera Incorporated
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Ticker EMA
Primary Security ID 290876101
Meeting Date 07-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Sylvia D. Chrominska For For Yes No
Management Elect Director Allan L. Edgeworth For For Yes No
Management Elect Director James D. Eisenhauer For For Yes No
Management Elect Director Christopher G. Huskilson For For Yes No
Management Elect Director B. Lynn Loewen For For Yes No
Management Elect Director John T. McLennan For For Yes No
Management Elect Director Donald A. Pether For For Yes No
Management Elect Director Andrea S. Rosen For For Yes No
Management Elect Director Richard P. Sergel For For Yes No
Management Elect Director M. Jacqueline Sheppard For For Yes No
Management Ratify Ernst & Young LLP as Auditors For For Yes No
Management Authorize Board to Fix Remuneration of Auditors For For Yes No
Management Amend Stock Option Plan For For Yes No
Enbridge Inc.
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Ticker ENB
Primary Security ID 29250N105
Meeting Date 07-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director David A. Arledge For For Yes No
Management Elect Director James J. Blanchard For For Yes No
Management Elect Director J. Lorne Braithwaite For For Yes No
Management Elect Director J. Herb England For For Yes No
Management Elect Director Charles W. Fischer For For Yes No
Management Elect Director V. Maureen Kempston Darkes For For Yes No
Management Elect Director David A. Leslie For For Yes No
Management Elect Director Al Monaco For For Yes No
Management Elect Director George K. Petty For For Yes No
Management Elect Director Charles E. Shultz For For Yes No
Management Elect Director Dan C. Tutcher For For Yes No
Management Elect Director Catherine L. Williams For For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For For Yes No
Management Amend Stock Option Plan For For Yes No
Management Approve Shareholder Rights Plan For For Yes No
Management Advisory Vote on Executive Compensation Approach For For Yes No
Pembina Pipeline Corporation
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Ticker PPL
Primary Security ID 706327103
Meeting Date 09-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Grant D. Billing For For Yes No
Management Elect Director Thomas W. Buchanan For For Yes No
Management Elect Director Michael (Mick) H. Dilger For For Yes No
Management Elect Director Randall J. Findlay For For Yes No
Management Elect Director Lorne B. Gordon For For Yes No
Management Elect Director David M.B. LeGresley For For Yes No
Management Elect Director Robert B. Michaleski For For Yes No
Management Elect Director Leslie A. O'Donoghue For For Yes No
Management Elect Director Jeffrey T. Smith For For Yes No
Management Approve KPMG LLP as Auditors and Authorize Board to For For Yes No
Fix Their Remuneration
Management Amend Stock Option Plan For For Yes No
Management Advisory Vote on Executive Compensation Approach For For Yes No
Sempra Energy
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Ticker SRE
Primary Security ID 816851109
Meeting Date 09-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Alan L. Boeckmann For For Yes No
Management Elect Director James G. Brocksmith, Jr. For For Yes No
Management Elect Director Kathleen L. Brown For For Yes No
Management Elect Director Pablo A. Ferrero For For Yes No
Management Elect Director William D. Jones For For Yes No
Management Elect Director William G. Ouchi For For Yes No
Management Elect Director Debra L. Reed For For Yes No
Management Elect Director William C. Rusnack For For Yes No
Management Elect Director William P. Rutledge For For Yes No
Management Elect Director Lynn Schenk For For Yes No
Management Elect Director Jack T. Taylor For For Yes No
Management Elect Director Luis M. Tellez For For Yes No
Management Elect Director James C. Yardley For For Yes No
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Inter Pipeline Ltd.
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Ticker IPL
Primary Security ID 45833V109
Meeting Date 12-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Fix Number of Directors at Seven For For Yes No
Management Elect Director Richard Shaw For For Yes No
Management Elect Director David Fesyk For For Yes No
Management Elect Director Lorne Brown For For Yes No
Management Elect Director Duane Keinick For For Yes No
Management Elect Director William Robertson For For Yes No
Management Elect Director Brant Sangster For For Yes No
Management Elect Director Alison Taylor Love For For Yes No
Management Ratify Ernst & Young LLP as Auditors For For Yes No
Management Authorize New Class of Preferred Stock (Class A) For For Yes No
Management Approve Shareholder Rights Plan For For Yes No
NiSource Inc.
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Ticker NI
Primary Security ID 65473P105
Meeting Date 13-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Richard A. Abdoo For For Yes No
Management Elect Director Aristides S. Candris For For Yes No
Management Elect Director Sigmund L. Cornelius For For Yes No
Management Elect Director Michael E. Jesanis For For Yes No
Management Elect Director Marty R. Kittrell For For Yes No
Management Elect Director W. Lee Nutter For For Yes No
Management Elect Director Deborah S. Parker For For Yes No
Management Elect Director Robert C. Skaggs, Jr. For For Yes No
Management Elect Director Teresa A. Taylor For For Yes No
Management Elect Director Richard L. Thompson For For Yes No
Management Elect Director Carolyn Y. Woo For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Management Ratify Auditors For For Yes No
Share Holder Report on Political Contributions Against For Yes Yes
Fortis Inc.
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Ticker FTS
Primary Security ID 349553107
Meeting Date 14-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Tracey C. Ball For For Yes No
Management Elect Director Peter E. Case For For Yes No
Management Elect Director Frank J. Crothers For For Yes No
Management Elect Director Ida J. Goodreau For For Yes No
Management Elect Director Douglas J. Haughey For For Yes No
Management Elect Director H. Stanley Marshall For For Yes No
Management Elect Director Harry McWatters For For Yes No
Management Elect Director Ronald D. Munkley For For Yes No
Management Elect Director David G. Norris For For Yes No
Management Elect Director Michael A. Pavey For For Yes No
Management Approve Ernst & Young LLP as Auditors and Authorize For For Yes No
Board to Fix Their Remuneration
Management Advisory Vote on Executive Compensation Approach For For Yes No
CMS Energy Corporation
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Ticker CMS
Primary Security ID 125896100
Meeting Date 16-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Jon E. Barfield For For Yes No
Management Elect Director Kurt L. Darrow For For Yes No
Management Elect Director Stephen E. Ewing For For Yes No
Management Elect Director Richard M. Gabrys For For Yes No
Management Elect Director William D. Harvey For For Yes No
Management Elect Director David W. Joos For For Yes No
Management Elect Director Philip R. Lochner, Jr. For For Yes No
Management Elect Director John G. Russell For For Yes No
Management Elect Director Kenneth L. Way For For Yes No
Management Elect Director Laura H. Wright For For Yes No
Management Elect Director John B. Yasinsky For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Management Ratify Auditors For For Yes No
Management Approve Omnibus Stock Plan For For Yes No
Management Approve Executive Incentive Bonus Plan For For Yes No
Kinder Morgan, Inc.
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Ticker KMI
Primary Security ID 49456B101
Meeting Date 19-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Richard D. Kinder For For Yes No
Management Elect Director Steven J. Kean For For Yes No
Management Elect Director Anthony W. Hall, Jr. For For Yes No
Management Elect Director Deborah A. Macdonald For For Yes No
Management Elect Director Michael J. Miller For For Yes No
Management Elect Director Michael C. Morgan For For Yes No
Management Elect Director Fayez Sarofim For For Yes No
Management Elect Director C. Park Shaper For For Yes No
Management Elect Director Joel V. Staff For For Yes No
Management Elect Director John M. Stokes For For Yes No
Management Elect Director Robert F. Vagt For For Yes No
Management Ratify Auditors For For Yes No
Share Holder Report on Financial Risks of Climate Change Against For Yes Yes
Share Holder Report on Methane Emissions Management, Pipeline Against For Yes Yes
Maintenance and Reduction Targets
Share Holder Report on Sustainability Against For Yes Yes
ITC Holdings Corp.
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Ticker ITC
Primary Security ID 465685105
Meeting Date 21-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Christopher H. Franklin For Withhold Yes Yes
Management Elect Director Edward G. Jepsen For Withhold Yes Yes
Management Elect Director William J. Museler For Withhold Yes Yes
Management Elect Director Hazel R. O'Leary For Withhold Yes Yes
Management Elect Director Thomas G. Stephens For Withhold Yes Yes
Management Elect Director G. Bennett Stewart, III For Withhold Yes Yes
Management Elect Director Lee C. Stewart For Withhold Yes Yes
Management Elect Director Joseph L. Welch For Withhold Yes Yes
Management Advisory Vote to Ratify Named Executive Officers' For Against Yes Yes
Compensation
Management Ratify Auditors For For Yes No
Management Amend Qualified Employee Stock Purchase Plan For For Yes No
Share Holder Amend Bylaws -- Call Special Meetings Against For Yes Yes
NextEra Energy, Inc.
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Ticker NEE
Primary Security ID 65339F101
Meeting Date 22-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Sherry S. Barrat For For Yes No
Management Elect Director Robert M. Beall, II For For Yes No
Management Elect Director James L. Camaren For For Yes No
Management Elect Director Kenneth B. Dunn For For Yes No
Management Elect Director Kirk S. Hachigian For For Yes No
Management Elect Director Toni Jennings For For Yes No
Management Elect Director James L. Robo For For Yes No
Management Elect Director Rudy E. Schupp For For Yes No
Management Elect Director John L. Skolds For For Yes No
Management Elect Director William H. Swanson For For Yes No
Management Elect Director Hansel E. Tookes, II For For Yes No
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Share Holder Eliminate Supermajority Vote Requirement Against For Yes Yes
Questar Corporation
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Ticker STR
Primary Security ID 748356102
Meeting Date 22-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Teresa Beck For For Yes No
Management Elect Director R. Don Cash For For Yes No
Management Elect Director Laurence M. Downes For For Yes No
Management Elect Director Christopher A. Helms For For Yes No
Management Elect Director Ronald W. Jibson For For Yes No
Management Elect Director Rebecca Ranich For For Yes No
Management Elect Director Harris H. Simmons For For Yes No
Management Elect Director Bruce A. Williamson For For Yes No
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
The Williams Companies, Inc.
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Ticker WMB
Primary Security ID 969457100
Meeting Date 22-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Alan S. Armstrong For For Yes No
Management Elect Director Joseph R. Cleveland For For Yes No
Management Elect Director Kathleen B. Cooper For For Yes No
Management Elect Director John A. Hagg For For Yes No
Management Elect Director Juanita H. Hinshaw For For Yes No
Management Elect Director Ralph Izzo For For Yes No
Management Elect Director Frank T. MacInnis For For Yes No
Management Elect Director Eric W. Mandelblatt For For Yes No
Management Elect Director Steven W. Nance For For Yes No
Management Elect Director Murray D. Smith For For Yes No
Management Elect Director Janice D. Stoney For For Yes No
Management Elect Director Laura A. Sugg For For Yes No
Management Amend Omnibus Stock Plan For For Yes No
Management Amend Qualified Employee Stock Purchase Plan For For Yes No
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
The Southern Company
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Ticker SO
Primary Security ID 842587107
Meeting Date 28-May-14
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MANAGEMENT VOTE VOTE AGAINST
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED MANAGEMENT
Management Elect Director Juanita Powell Baranco For For Yes No
Management Elect Director Jon A. Boscia For For Yes No
Management Elect Director Henry A. 'Hal' Clark, III For For Yes No
Management Elect Director Thomas A. Fanning For For Yes No
Management Elect Director David J. Grain For For Yes No
Management Elect Director Veronica M. Hagen For For Yes No
Management Elect Director Warren A. Hood, Jr. For For Yes No
Management Elect Director Linda P. Hudson For For Yes No
Management Elect Director Donald M. James For For Yes No
Management Elect Director Dale E. Klein For For Yes No
Management Elect Director William G. Smith, Jr. For For Yes No
Management Elect Director Steven R. Specker For For Yes No
Management Elect Director E. Jenner Wood, III For Against Yes Yes
Management Ratify Auditors For For Yes No
Management Advisory Vote to Ratify Named Executive Officers' For For Yes No
Compensation
Share Holder Require Independent Board Chairman Against For Yes Yes
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FIRST TRUST TACTICAL HIGH YIELD ETF
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The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
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FIRST TRUST SENIOR LOAN FUND
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The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
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 8, 2014
-------------------------
* Print the name and title of each signing officer under his or her signature.