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. 811-22452
FIRST TRUST SERIES FUND
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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, 2016 - June 30, 2017
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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/CONFLUENCE SMALL CAP VALUE FUND
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MEETING DATE RANGE: 01-JUL-2016 TO 30-JUN-2017
SELECTED ACCOUNTS
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TUMI HOLDINGS, INC
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SECURITY 89969Q104 MEETING TYPE Special
TICKER SYMBOL TUMI MEETING DATE 12-Jul-2016
ISIN US89969Q1040 AGENDA 934449047 - Management
RECORD DATE 03-Jun-2016 HOLDING RECON DATE 03-Jun-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 11-Jul-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. THE PROPOSAL TO ADOPT THE Management For For For
AGREEMENT AND PLAN OF MERGER,
DATED AS OF MARCH 3, 2016, AMONG
SAMSONITE INTERNATIONAL S.A., PTL
ACQUISITION INC. AND TUMI
HOLDINGS, INC.
2. THE PROPOSAL TO APPROVE, ON A Management For For For
NON-BINDING ADVISORY BASIS,
SPECIFIED COMPENSATION THAT MAY
BE PAID OR BECOME PAYABLE TO
TUMI HOLDINGS, INC.'S PRINCIPAL
EXECUTIVE OFFICER, PRINCIPAL
FINANCIAL OFFICER AND THREE MOST
HIGHLY COMPENSATED EXECUTIVE
OFFICERS OTHER THAN THE
PRINCIPAL EXECUTIVE OFFICER AND ..
(DUE TO SPACE LIMITS, SEE PROXY
STATEMENT FOR FULL PROPOSAL).
3. THE PROPOSAL TO APPROVE THE Management For For For
ADJOURNMENT OF THE SPECIAL
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.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
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8012312 FIRST 8012312 BROWN 1,676 0 09-Jun-2016 13-Jul-2016
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
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HAEMONETICS CORPORATION
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SECURITY 405024100 MEETING TYPE Annual
TICKER SYMBOL HAE MEETING DATE 21-Jul-2016
ISIN US4050241003 AGENDA 934448451 - Management
RECORD DATE 03-Jun-2016 HOLDING RECON DATE 03-Jun-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 20-Jul-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. DIRECTOR Management
1 SUSAN BARTLETT FOOTE For For For
2 PEDRO P. GRANADILLO For For For
3 MARK W. KROLL, PHD For For For
2. TO CONSIDER AND ACT UPON AN Management For For For
ADVISORY VOTE REGARDING THE
COMPENSATION OF OUR NAMED
EXECUTIVE OFFICERS.
3. TO APPROVE AN AMENDMENT TO Management For For For
HAEMONETICS CORPORATION'S 2007
EMPLOYEE STOCK PURCHASE PLAN.
4. TO APPROVE THE ADOPTION OF THE Management For For For
WORLDWIDE EXECUTIVE BONUS PLAN.
5. TO RATIFY ERNST & YOUNG LLP AS Management For For For
OUR INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM TO AUDIT
THE CONSOLIDATED FINANCIAL
STATEMENTS OF THE COMPANY AND
ITS SUBSIDIARIES FOR THE FISCAL
YEAR ENDED APRIL 1, 2017.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 4,315 0 11-Jun-2016 22-Jul-2016
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 1
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THERMON GROUP HOLDINGS, INC.
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SECURITY 88362T103 MEETING TYPE Annual
TICKER SYMBOL THR MEETING DATE 27-Jul-2016
ISIN US88362T1034 AGENDA 934450519 - Management
RECORD DATE 01-Jun-2016 HOLDING RECON DATE 01-Jun-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 26-Jul-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. DIRECTOR Management
1 MARCUS J. GEORGE For For For
2 RICHARD E. GOODRICH For For For
3 KEVIN J. MCGINTY For For For
4 JOHN T. NESSER, III For For For
5 MICHAEL W. PRESS For For For
6 STEPHEN A. SNIDER For For For
7 CHARLES A. SORRENTINO For For For
8 BRUCE A. THAMES For For For
2. TO RATIFY THE APPOINTMENT OF Management For For For
KPMG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING MARCH 31, 2017
3. TO APPROVE, ON A NON-BINDING Management For For For
ADVISORY BASIS, THE COMPENSATION
OF THE COMPANY'S EXECUTIVE
OFFICERS AS DESCRIBED IN THE
PROXY STATEMENT.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 9,587 0 14-Jun-2016 28-Jul-2016
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
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PATTERSON COMPANIES, INC.
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SECURITY 703395103 MEETING TYPE Annual
TICKER SYMBOL PDCO MEETING DATE 12-Sep-2016
ISIN US7033951036 AGENDA 934462540 - Management
RECORD DATE 15-Jul-2016 HOLDING RECON DATE 15-Jul-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 09-Sep-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. DIRECTOR Management
1 SCOTT P. ANDERSON For For For
2 JOHN D. BUCK For For For
3 JODY H. FERAGEN For For For
4 SARENA S. LIN For For For
5 ELLEN A. RUDNICK For For For
6 NEIL A. SCHRIMSHER For For For
7 LES C. VINNEY For For For
8 JAMES W. WILTZ For For For
2. ADVISORY APPROVAL OF EXECUTIVE Management For For For
COMPENSATION.
3. TO RATIFY THE SELECTION OF ERNST Management For For For
& YOUNG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
APRIL 29, 2017.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
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8012312 FIRST 8012312 BROWN 4,292 0 30-Jul-2016 13-Sep-2016
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
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RBC BEARINGS INCORPORATED
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SECURITY 75524B104 MEETING TYPE Annual
TICKER SYMBOL ROLL MEETING DATE 12-Sep-2016
ISIN US75524B1044 AGENDA 934464998 - Management
RECORD DATE 15-Jul-2016 HOLDING RECON DATE 15-Jul-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 09-Sep-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. DIRECTOR Management
1 MITCHELL I. QUAIN* For For For
2 EDWARD D. STEWART# For For For
3 DR. THOMAS J. O'BRIEN# For For For
4 DANIEL A. BERGERON# For For For
2. TO RATIFY THE APPOINTMENT OF Management For For For
ERNST & YOUNG LLP AS THE
COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR 2017.
3. TO APPROVE THE COMPENSATION OF Management For For For
OUR NAMED EXECUTIVE OFFICERS.
4. TO APPROVE THE RESOLUTION Shareholder Against Against For
PROPOSED BY CALPERS TO REPLACE
THE COMPANY'S PLURALITY VOTING
STANDARD FOR ELECTION OF
DIRECTORS WITH A MAJORITY VOTING
STANDARD.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
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8012312 FIRST 8012312 BROWN 1,626 0 03-Aug-2016 13-Sep-2016
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 2
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CULP, INC.
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SECURITY 230215105 MEETING TYPE Annual
TICKER SYMBOL CFI MEETING DATE 21-Sep-2016
ISIN US2302151053 AGENDA 934471638 - Management
RECORD DATE 21-Jul-2016 HOLDING RECON DATE 21-Jul-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 20-Sep-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. DIRECTOR Management
1 ROBERT G. CULP, III For For For
2 PATRICK B. FLAVIN For For For
3 FRED A. JACKSON For For For
4 KENNETH R. LARSON For For For
5 KENNETH W. MCALLISTER For For For
6 FRANKLIN N. SAXON For For For
2. PROPOSAL TO RATIFY THE Management For For For
APPOINTMENT OF GRANT THORNTON
LLP AS THE COMPANY'S INDEPENDENT
AUDITORS FOR FISCAL 2017.
3. SAY ON PAY - AN ADVISORY VOTE ON Management For For For
EXECUTIVE COMPENSATION.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
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8012312 FIRST 8012312 BROWN 3,393 0 19-Aug-2016 22-Sep-2016
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
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BIO-TECHNE CORP
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SECURITY 09073M104 MEETING TYPE Annual
TICKER SYMBOL TECH MEETING DATE 27-Oct-2016
ISIN US09073M1045 AGENDA 934479937 - Management
RECORD DATE 02-Sep-2016 HOLDING RECON DATE 02-Sep-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 26-Oct-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. TO SET THE NUMBER OF DIRECTORS Management For For For
AT NINE.
2A. ELECTION OF DIRECTOR: ROBERT V. Management For For For
BAUMGARTNER
2B. ELECTION OF DIRECTOR: CHARLES A. Management For For For
DINARELLO, M.D.
2C. ELECTION OF DIRECTOR: JOHN L. Management For For For
HIGGINS
2D. ELECTION OF DIRECTOR: KAREN A. Management For For For
HOLBROOK, PH.D.
2E. ELECTION OF DIRECTOR: CHARLES R. Management For For For
KUMMETH
2F. ELECTION OF DIRECTOR: ROGER C. Management For For For
LUCAS, PH.D.
2G. ELECTION OF DIRECTOR: ROELAND Management For For For
NUSSE, PH.D.
2H. ELECTION OF DIRECTOR: RANDOLPH Management For For For
C. STEER, M.D., PH.D.
2I. ELECTION OF DIRECTOR: HAROLD J. Management For For For
WIENS
3. A NON-BINDING ADVISORY VOTE ON Management For For For
NAMED EXECUTIVE OFFICER
COMPENSATION.
4. RATIFY THE APPOINTMENT OF KPMG Management For For For
LLP AS REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING JUNE 30, 2017.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
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8012312 FIRST 8012312 BROWN 1,732 0 14-Sep-2016 28-Oct-2016
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
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NATIONAL INTERSTATE CORPORATION
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SECURITY 63654U100 MEETING TYPE Special
TICKER SYMBOL NATL MEETING DATE 10-Nov-2016
ISIN US63654U1007 AGENDA 934490599 - Management
RECORD DATE 26-Sep-2016 HOLDING RECON DATE 26-Sep-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 09-Nov-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. TO CONSIDER AND VOTE ON A Management For For For
PROPOSAL TO ADOPT THE
AGREEMENT AND PLAN OF MERGER,
DATED JULY 25, 2016, AS AMENDED, BY
AND AMONG GREAT AMERICAN
INSURANCE COMPANY, GAIC ALLOY,
INC., A WHOLLY OWNED SUBSIDIARY
OF GREAT AMERICAN INSURANCE
COMPANY, AND NATIONAL INTERSTATE
CORPORATION.
2. ADVISORY (NON-BINDING) APPROVAL Management For For For
OF SPECIFIED COMPENSATION
PAYABLE TO NAMED EXECUTIVE
OFFICERS IN CONNECTION WITH THE
MERGER.
3. APPROVAL OF ADJOURNMENT OF THE Management For For For
SPECIAL MEETING, IF NECESSARY, TO
SOLICIT ADDITIONAL PROXIES TO
ADOPT THE AGREEMENT AND PLAN OF
MERGER.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
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8012312 FIRST 8012312 BROWN 4,788 0 14-Oct-2016 11-Nov-2016
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 3
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VCA INC.
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SECURITY 918194101 MEETING TYPE Special
TICKER SYMBOL WOOF MEETING DATE 28-Mar-2017
ISIN US9181941017 AGENDA 934532145 - Management
RECORD DATE 10-Feb-2017 HOLDING RECON DATE 10-Feb-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 27-Mar-2017
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. THE PROPOSAL TO APPROVE THE Management For For For
ADOPTION OF THE AGREEMENT AND
PLAN OF MERGER (AS IT MAY BE
AMENDED FROM TIME TO TIME, THE
"MERGER AGREEMENT"), DATED AS OF
JANUARY 7, 2017, BY AND AMONG THE
COMPANY, MMI HOLDINGS, INC., A
DELAWARE CORPORATION
("ACQUIROR"), VENICE MERGER SUB
INC., A DELAWARE CORPORATION
...(DUE TO SPACE LIMITS, SEE PROXY
STATEMENT FOR FULL PROPOSAL).
2. THE PROPOSAL TO APPROVE, ON AN Management For For For
ADVISORY (NON-BINDING) BASIS,
SPECIFIED COMPENSATION THAT MAY
BECOME PAYABLE TO THE COMPANY'S
PRINCIPAL EXECUTIVE OFFICER,
PRINCIPAL FINANCIAL OFFICER AND
THREE OTHER MOST HIGHLY
COMPENSATED EXECUTIVE OFFICERS
IN CONNECTION WITH THE MERGER.
3. THE PROPOSAL TO APPROVE THE Management For For For
ADJOURNMENT OF THE SPECIAL
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 APPROVE THE
ADOPTION OF THE MERGER
AGREEMENT.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 5,095 0 22-Feb-2017 29-Mar-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
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CEB INC.
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SECURITY 125134106 MEETING TYPE Special
TICKER SYMBOL CEB MEETING DATE 04-Apr-2017
ISIN US1251341061 AGENDA 934540332 - Management
RECORD DATE 24-Feb-2017 HOLDING RECON DATE 24-Feb-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 03-Apr-2017
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. THE MERGER Management For For For
2. ADVISORY VOTE ON MERGER- Management For For For
RELATED COMPENSATION FOR CEB'S
NAMED EXECUTIVE OFFICERS
3. ADJOURNMENT OF THE SPECIAL Management For For For
MEETING OF CEB
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 5,571 0 09-Mar-2017 05-Apr-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
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HALYARD HEALTH, INC.
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SECURITY 40650V100 MEETING TYPE Annual
TICKER SYMBOL HYH MEETING DATE 27-Apr-2017
ISIN US40650V1008 AGENDA 934542906 - Management
RECORD DATE 03-Mar-2017 HOLDING RECON DATE 03-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 26-Apr-2017
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1A. ELECTION OF DIRECTOR: ROBERT E. Management For For For
ABERNATHY
1B. ELECTION OF DIRECTOR: RONALD W. Management For For For
DOLLENS
1C. ELECTION OF DIRECTOR: HEIDI K. Management For For For
KUNZ
2. RATIFICATION OF THE SELECTION OF Management For For For
DELOITTE & TOUCHE LLP AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM TO AUDIT THE
COMPANY'S 2017 FINANCIAL
STATEMENTS.
3. ADVISORY VOTE TO APPROVE NAMED Management For For For
EXECUTIVE OFFICER COMPENSATION.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 9,564 0 15-Mar-2017 28-Apr-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 4
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GRACO INC.
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SECURITY 384109104 MEETING TYPE Annual
TICKER SYMBOL GGG MEETING DATE 28-Apr-2017
ISIN US3841091040 AGENDA 934541788 - Management
RECORD DATE 27-Feb-2017 HOLDING RECON DATE 27-Feb-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 27-Apr-2017
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: PATRICK J. Management For For For
MCHALE
1B. ELECTION OF DIRECTOR: LEE R. MITAU Management For For For
1C. ELECTION OF DIRECTOR: MARTHA A. Management For For For
MORFITT
2. RATIFICATION OF APPOINTMENT OF Management For For For
DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT
REGISTERED ACCOUNTING FIRM.
3. APPROVAL, ON AN ADVISORY BASIS, Management For For For
OF THE COMPENSATION PAID TO OUR
NAMED EXECUTIVE OFFICERS AS
DISCLOSED IN THE PROXY
STATEMENT.
4. AN ADVISORY, NON-BINDING VOTE ON Management 1 Year 1 Year For
THE FREQUENCY FOR WHICH
SHAREHOLDERS WILL HAVE AN
ADVISORY, NON-BINDING VOTE ON
OUR EXECUTIVE COMPENSATION.
5. APPROVAL OF THE INCENTIVE BONUS Management For For For
PLAN.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 3,650 0 16-Mar-2017 01-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
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MONOTYPE IMAGING HOLDINGS INC.
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SECURITY 61022P100 MEETING TYPE Annual
TICKER SYMBOL TYPE MEETING DATE 01-May-2017
ISIN US61022P1003 AGENDA 934581934 - Management
RECORD DATE 22-Mar-2017 HOLDING RECON DATE 22-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 28-Apr-2017
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1.1 ELECTION OF DIRECTOR: ROBERT L. Management For For For
LENTZ
1.2 ELECTION OF DIRECTOR: DOUGLAS J. Management For For For
SHAW
1.3 ELECTION OF DIRECTOR: PETER J. Management For For For
SIMONE
2. AN ADVISORY APPROVAL OF THE Management For For For
COMPANY'S EXECUTIVE
COMPENSATION.
3. FREQUENCY OF ADVISORY VOTE ON Management 1 Year 1 Year For
EXECUTIVE COMPENSATION.
4. APPROVAL OF THE THIRD AMENDED Management For For For
AND RESTATED 2007 STOCK OPTION
AND INCENTIVE PLAN.
5. RATIFY ERNST & YOUNG LLP AS THE Management For For For
COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE YEAR ENDING
DECEMBER 31, 2017.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 17,464 0 08-Apr-2017 02-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
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BROWN & BROWN, INC.
-----------------------------------------------------------------------------------------
SECURITY 115236101 MEETING TYPE Annual
TICKER SYMBOL BRO MEETING DATE 03-May-2017
ISIN US1152361010 AGENDA 934547386 - Management
RECORD DATE 27-Feb-2017 HOLDING RECON DATE 27-Feb-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 02-May-2017
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 J. HYATT BROWN For For For
2 SAMUEL P. BELL, III For For For
3 HUGH M. BROWN For For For
4 J. POWELL BROWN For For For
5 BRADLEY CURREY, JR. For For For
6 THEODORE J. HOEPNER For For For
7 JAMES S. HUNT For For For
8 TONI JENNINGS For For For
9 TIMOTHY R.M. MAIN For For For
10 H. PALMER PROCTOR, JR. For For For
11 WENDELL S. REILLY For For For
12 CHILTON D. VARNER For For For
2. TO RATIFY THE APPOINTMENT OF Management For For For
DELOITTE & TOUCHE LLP AS BROWN &
BROWN, INC.'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTANTS
FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2017.
3. TO APPROVE, ON AN ADVISORY BASIS, Management For For For
THE COMPENSATION OF NAMED
EXECUTIVE OFFICERS.
4. TO CONDUCT AN ADVISORY VOTE ON Management 1 Year 1 Year For
THE DESIRED FREQUENCY OF
HOLDING AN ADVISORY VOTE ON THE
COMPENSATION OF NAMED
EXECUTIVE OFFICERS.
5. TO APPROVE AN AMENDMENT TO Management For For For
BROWN & BROWN, INC.'S 2010 STOCK
INCENTIVE PLAN TO INCREASE THE
NUMBER OF SHARES AVAILABLE FOR
ISSUANCE UNDER THE PLAN.
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ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 7,095 0 25-Mar-2017 04-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 5
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SNYDER'S-LANCE, INC.
-----------------------------------------------------------------------------------------
SECURITY 833551104 MEETING TYPE Annual
TICKER SYMBOL LNCE MEETING DATE 03-May-2017
ISIN US8335511049 AGENDA 934564178 - Management
RECORD DATE 08-Mar-2017 HOLDING RECON DATE 08-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 02-May-2017
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 C. PETER CARLUCCI, JR. For For For
2 BRIAN J. DRISCOLL For For For
3 JAMES W. JOHNSTON For For For
4 PATRICIA A. WAREHIME For For For
2. ADVISORY VOTE TO APPROVE Management For For For
EXECUTIVE COMPENSATION.
3. ADVISORY VOTE ON THE FREQUENCY Management 1 Year 1 Year For
ON WHICH SHAREHOLDERS SHOULD
VOTE TO APPROVE COMPENSATION
OF THE COMPANY'S EXECUTIVES.
4. RATIFY THE SELECTION OF Management For For For
PRICEWATERHOUSECOOPERS LLP AS
THE INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR FISCAL
YEAR 2017.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 9,191 0 30-Mar-2017 04-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
-----------------------------------------------------------------------------------------
GLADSTONE COMMERCIAL CORPORATION
-----------------------------------------------------------------------------------------
SECURITY 376536108 MEETING TYPE Annual
TICKER SYMBOL GOOD MEETING DATE 04-May-2017
ISIN US3765361080 AGENDA 934542261 - Management
RECORD DATE 06-Mar-2017 HOLDING RECON DATE 06-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 03-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 MICHELA A. ENGLISH For For For
2 ANTHONY W. PARKER For For For
2. TO RATIFY OUR AUDIT COMMITTEE'S Management For For For
SELECTION OF
PRICEWATERHOUSECOOPERS LLP AS
OUR INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR OUR
FISCAL YEAR ENDING DECEMBER 31, 2017.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 15,350 0 18-Mar-2017 05-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
-----------------------------------------------------------------------------------------
FRANKLIN ELECTRIC CO., INC.
-----------------------------------------------------------------------------------------
SECURITY 353514102 MEETING TYPE Annual
TICKER SYMBOL FELE MEETING DATE 05-May-2017
ISIN US3535141028 AGENDA 934542122 - Management
RECORD DATE 01-Mar-2017 HOLDING RECON DATE 01-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 04-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: DAVID T. Management For For For
BROWN
1B. ELECTION OF DIRECTOR: DAVID A. Management For For For
ROBERTS
1C. ELECTION OF DIRECTOR: THOMAS R. Management For For For
VERHAGE
2. RATIFY THE APPOINTMENT OF Management For For For
DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE 2017 FISCAL YEAR.
3. APPROVE, ON AN ADVISORY BASIS, Management For For For
THE EXECUTIVE COMPENSATION OF
THE NAMED EXECUTIVE OFFICERS AS
DISCLOSED IN THE PROXY
STATEMENT.
4. APPROVE THE FRANKLIN ELECTRIC Management For For For
CO., INC. 2017 STOCK PLAN.
5. APPROVE, ON AN ADVISORY BASIS, Management 1 Year 1 Year For
THE FREQUENCY OF FUTURE
ADVISORY VOTES ON THE
COMPENSATION OF THE NAMED
EXECUTIVE OFFICERS AS DISCLOSED
IN THE PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 5,420 0 22-Mar-2017 08-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 6
-----------------------------------------------------------------------------------------
FORWARD AIR CORPORATION
-----------------------------------------------------------------------------------------
SECURITY 349853101 MEETING TYPE Annual
TICKER SYMBOL FWRD MEETING DATE 09-May-2017
ISIN US3498531017 AGENDA 934555220 - Management
RECORD DATE 10-Mar-2017 HOLDING RECON DATE 10-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 08-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 BRUCE A. CAMPBELL For For For
2 C. ROBERT CAMPBELL For For For
3 C. JOHN LANGLEY For For For
4 G. MICHAEL LYNCH For For For
5 RONALD W. ALLEN For For For
6 DOUGLAS M. MADDEN For For For
7 R. CRAIG CARLOCK For For For
2. TO RATIFY THE APPOINTMENT OF Management For For For
ERNST & YOUNG LLP AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM OF THE COMPANY.
3. TO APPROVE, ON A NON-BINDING, Management For For For
ADVISORY BASIS, THE COMPENSATION
OF THE NAMED EXECUTIVE OFFICERS
(THE "SAY ON PAY VOTE").
4. TO APPROVE, ON A NON-BINDING, Management 1 Year 1 Year For
ADVISORY BASIS, WHETHER FUTURE
SAY ON PAY VOTES SHOULD OCCUR
EVERY ONE, TWO, OR THREE YEARS
(THE "SAY ON FREQUENCY VOTE").
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 6,972 0 31-Mar-2017 10-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
-----------------------------------------------------------------------------------------
POTBELLY CORPORATION
-----------------------------------------------------------------------------------------
SECURITY 73754Y100 MEETING TYPE Annual
TICKER SYMBOL PBPB MEETING DATE 11-May-2017
ISIN US73754Y1001 AGENDA 934555787 - Management
RECORD DATE 15-Mar-2017 HOLDING RECON DATE 15-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 10-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 PETER BASSI For For For
2 MARLA GOTTSCHALK For For For
3 AYLWIN LEWIS For For For
2. RATIFICATION OF THE APPOINTMENT Management For For For
OF DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2017.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 27,453 0 24-Mar-2017 12-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
-----------------------------------------------------------------------------------------
JOHN BEAN TECHNOLOGIES CORPORATION
-----------------------------------------------------------------------------------------
SECURITY 477839104 MEETING TYPE Annual
TICKER SYMBOL JBT MEETING DATE 12-May-2017
ISIN US4778391049 AGENDA 934552084 - Management
RECORD DATE 16-Mar-2017 HOLDING RECON DATE 16-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 11-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: THOMAS W. Management For For For
GIACOMINI
1B. ELECTION OF DIRECTOR: POLLY B. Management For For For
KAWALEK
2. APPROVE THE JOHN BEAN Management For For For
TECHNOLOGIES CORPORATION 2017
INCENTIVE COMPENSATION AND
STOCK PLAN.
3. APPROVE ON AN ADVISORY BASIS A Management For For For
NON-BINDING RESOLUTION
REGARDING THE COMPENSATION OF
NAMED EXECUTIVE OFFICERS.
4. APPROVE ON AN ADVISORY BASIS THE Management 1 Year 1 Year For
FREQUENCY OF THE ADVISORY VOTE
TO APPROVE NAMED EXECUTIVE
OFFICERS COMPENSATION.
5. RATIFY THE APPOINTMENT OF KPMG Management For For For
LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2017.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 3,286 0 31-Mar-2017 15-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 7
-----------------------------------------------------------------------------------------
MORNINGSTAR, INC.
-----------------------------------------------------------------------------------------
SECURITY 617700109 MEETING TYPE Annual
TICKER SYMBOL MORN MEETING DATE 12-May-2017
ISIN US6177001095 AGENDA 934555650 - Management
RECORD DATE 13-Mar-2017 HOLDING RECON DATE 13-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 11-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: JOE Management For For For
MANSUETO
1B. ELECTION OF DIRECTOR: KUNAL Management For For For
KAPOOR
1C. ELECTION OF DIRECTOR: ROBIN Management For For For
DIAMONTE
1D. ELECTION OF DIRECTOR: CHERYL Management For For For
FRANCIS
1E. ELECTION OF DIRECTOR: STEVE Management For For For
KAPLAN
1F. ELECTION OF DIRECTOR: GAIL LANDIS Management For For For
1G. ELECTION OF DIRECTOR: BILL LYONS Management For For For
1H. ELECTION OF DIRECTOR: JACK Management For For For
NOONAN
1I. ELECTION OF DIRECTOR: CAROLINE Management For For For
TSAY
1J. ELECTION OF DIRECTOR: HUGH Management For For For
ZENTMYER
2. ADVISORY VOTE ON EXECUTIVE Management For For For
COMPENSATION.
3. ADVISORY VOTE ON THE FREQUENCY Management 1 Year 3 Years Against
OF VOTES ON EXECUTIVE
COMPENSATION.
4. RATIFICATION OF THE APPOINTMENT Management For For For
OF KPMG LLP AS MORNINGSTAR'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2017.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 4,792 0 01-Apr-2017 15-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
-----------------------------------------------------------------------------------------
BANK OF MARIN BANCORP
-----------------------------------------------------------------------------------------
SECURITY 063425102 MEETING TYPE Annual
TICKER SYMBOL BMRC MEETING DATE 16-May-2017
ISIN US0634251021 AGENDA 934584512 - Management
RECORD DATE 20-Mar-2017 HOLDING RECON DATE 20-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 15-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 RUSSELL A. COLOMBO For For For
2 JAMES C. HALE For For For
3 ROBERT HELLER For For For
4 NORMA J. HOWARD For For For
5 KEVIN R. KENNEDY For For For
6 WILLIAM H. MCDEVITT, JR For For For
7 LESLIE E. MURPHY For For For
8 MICHAELA K. RODENO For For For
9 JOEL SKLAR, MD For For For
10 BRIAN M. SOBEL For For For
2. TO APPROVE, BY NON-BINDING VOTE, Management For For For
EXECUTIVE COMPENSATION
3. TO RECOMMEND, BY NON-BINDING Management 1 Year 1 Year For
VOTE, THE FREQUENCY OF THE VOTE
ON EXECUTIVE COMPENSATION
4. TO APPROVE THE BANK OF MARIN Management For For For
BANCORP 2017 EQUITY PLAN
5. RATIFICATION OF THE SELECTION OF Management For For For
INDEPENDENT AUDITOR
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 5,634 0 11-Apr-2017 17-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 8
-----------------------------------------------------------------------------------------
DONNELLEY FINANCIAL SOLUTIONS, INC.
-----------------------------------------------------------------------------------------
SECURITY 25787G100 MEETING TYPE Annual
TICKER SYMBOL DFIN MEETING DATE 18-May-2017
ISIN US25787G1004 AGENDA 934594715 - Management
RECORD DATE 03-Apr-2017 HOLDING RECON DATE 03-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 17-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: DANIEL N. Management For For For
LEIB
1B. ELECTION OF DIRECTOR: LOIS M. Management For For For
MARTIN
2. ADVISORY VOTE ON EXECUTIVE Management For For For
COMPENSATION
3. ADVISORY VOTE REGARDING Management 1 Year 1 Year For
FREQUENCY OF ADVISORY VOTE ON
EXECUTIVE COMPENSATION
4. AMENDED AND RESTATED 2016 Management For For For
PERFORMANCE INCENTIVE PLAN
5. RATIFICATION OF THE COMPANY'S Management For For For
AUDITORS
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 11,243 0 18-Apr-2017 19-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
-----------------------------------------------------------------------------------------
RAYONIER INC.
-----------------------------------------------------------------------------------------
SECURITY 754907103 MEETING TYPE Annual
TICKER SYMBOL RYN MEETING DATE 18-May-2017
ISIN US7549071030 AGENDA 934572149 - Management
RECORD DATE 17-Mar-2017 HOLDING RECON DATE 17-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 17-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: RICHARD D. Management For For For
KINCAID
1B. ELECTION OF DIRECTOR: JOHN A. Management For For For
BLUMBERG
1C. ELECTION OF DIRECTOR: DOD A. Management For For For
FRASER
1D. ELECTION OF DIRECTOR: SCOTT R. Management For For For
JONES
1E. ELECTION OF DIRECTOR: BERNARD Management For For For
LANIGAN, JR.
1F. ELECTION OF DIRECTOR: BLANCHE L. Management For For For
LINCOLN
1G. ELECTION OF DIRECTOR: V. LARKIN Management For For For
MARTIN
1H. ELECTION OF DIRECTOR: DAVID L. Management For For For
NUNES
1I. ELECTION OF DIRECTOR: ANDREW G. Management For For For
WILTSHIRE
2. APPROVAL, ON A NON-BINDING Management For For For
ADVISORY BASIS, OF THE
COMPENSATION OF OUR NAMED
EXECUTIVE OFFICERS AS DISCLOSED
IN THE PROXY STATEMENT.
3. TO RECOMMEND, BY NON-BINDING Management 1 Year 1 Year For
VOTE, WHETHER THE VOTE OF OUR
NAMED EXECUTIVE OFFICERS'
COMPENSATION SHOULD OCCUR
EVERY ONE, TWO OR THREE YEARS.
4. APPROVAL OF THE MATERIAL TERMS Management For For For
UNDER THE RAYONIER NON-EQUITY
INCENTIVE PLAN, AS AMENDED, FOR
PURPOSES OF SECTION 162(M) OF THE
INTERNAL REVENUE CODE.
5. APPROVAL OF THE MATERIAL TERMS Management For For For
UNDER THE RAYONIER INCENTIVE
STOCK PLAN, AS AMENDED, FOR
PURPOSES OF SECTION 162(M) OF THE
INTERNAL REVENUE CODE.
6. APPROVAL OF AN ANNUAL LIMIT ON Management For For For
AWARDS TO NON-EMPLOYEE
DIRECTORS UNDER THE RAYONIER
INCENTIVE STOCK PLAN.
7. RATIFICATION OF THE APPOINTMENT Management For For For
OF ERNST & YOUNG LLP AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2017.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 12,788 0 04-Apr-2017 19-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 9
-----------------------------------------------------------------------------------------
THE BOSTON BEER COMPANY, INC.
-----------------------------------------------------------------------------------------
SECURITY 100557107 MEETING TYPE Annual
TICKER SYMBOL SAM MEETING DATE 18-May-2017
ISIN US1005571070 AGENDA 934575082 - Management
RECORD DATE 20-Mar-2017 HOLDING RECON DATE 20-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 17-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 DAVID A. BURWICK For For For
2 MICHAEL SPILLANE For For For
3 JEAN-MICHEL VALETTE For For For
2. ADVISORY VOTE TO APPROVE OUR Management For For For
NAMED EXECUTIVE OFFICERS'
COMPENSATION.
3. ADVISORY VOTE ON THE FREQUENCY Management 1 Year 1 Year For
OF FUTURE ADVISORY VOTES TO
APPROVE OUR NAMED EXECUTIVE
OFFICERS' COMPENSATION.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 2,672 0 08-Apr-2017 19-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
-----------------------------------------------------------------------------------------
ONEBEACON INSURANCE GROUP, LTD.
-----------------------------------------------------------------------------------------
SECURITY G67742109 MEETING TYPE Annual
TICKER SYMBOL OB MEETING DATE 24-May-2017
ISIN BMG677421098 AGENDA 934572959 - Management
RECORD DATE 29-Mar-2017 HOLDING RECON DATE 29-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 DAVID T. FOY For For For
2 IRA H. MALIS For For For
3 PATRICK A. THIELE For For For
2. TO ELECT G. MANNING ROUNTREE TO Management For For For
CLASS III OF THE BOARD OF
DIRECTORS OF THE COMPANY.
3. TO AUTHORIZE THE ELECTION OF Management For For For
DIRECTORS OF SPLIT ROCK
INSURANCE, LTD.
4. TO AUTHORIZE THE ELECTION OF Management For For For
DIRECTORS OF GRAND MARAIS
CAPITAL LIMITED.
5. TO AUTHORIZE THE ELECTION OF Management For For For
DIRECTORS FOR ANY NEW
DESIGNATED SUBSIDIARY OF THE
COMPANY.
6. TO APPROVE THE ADVISORY Management For For For
RESOLUTION ON EXECUTIVE
COMPENSATION.
7. TO APPROVE THE ADVISORY Management 1 Year 1 Year For
RESOLUTION ON FREQUENCY OF THE
ADVISORY VOTE ON EXECUTIVE
COMPENSATION.
8. TO APPROVE THE ONEBEACON 2017 Management For For For
LONG TERM INCENTIVE PLAN.
9. TO APPROVE THE APPOINTMENT OF Management For For For
PRICEWATERHOUSECOOPERS LLP AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2017.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 22,020 0 12-Apr-2017 25-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
-----------------------------------------------------------------------------------------
RE/MAX HOLDINGS, INC.
-----------------------------------------------------------------------------------------
SECURITY 75524W108 MEETING TYPE Annual
TICKER SYMBOL RMAX MEETING DATE 24-May-2017
ISIN US75524W1080 AGENDA 934577961 - Management
RECORD DATE 23-Mar-2017 HOLDING RECON DATE 23-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 ROGER DOW For For For
2 RONALD HARRISON For For For
3 JOSEPH DESPLINTER For For For
2. ADVISORY VOTE TO APPROVE THE Management For For For
COMPENSATION OF OUR NAMED
EXECUTIVE OFFICERS.
3. ADVISORY VOTE ON THE FREQUENCY Management 1 Year 3 Years Against
OF FUTURE ADVISORY VOTES ON
EXECUTIVE COMPENSATION.
4. RATIFICATION OF THE APPOINTMENT Management For For For
OF KPMG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2017.
5. TO APPROVE THE RE/MAX HOLDINGS, Management For For For
INC. 2013 OMNIBUS INCENTIVE PLAN.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 5,868 0 13-Apr-2017 25-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 10
-----------------------------------------------------------------------------------------
RAVEN INDUSTRIES, INC.
-----------------------------------------------------------------------------------------
SECURITY 754212108 MEETING TYPE Annual
TICKER SYMBOL RAVN MEETING DATE 25-May-2017
ISIN US7542121089 AGENDA 934602409 - Management
RECORD DATE 12-Apr-2017 HOLDING RECON DATE 12-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 24-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 JASON M. ANDRINGA For For For
2 DAVID L. CHICOINE For For For
3 THOMAS S. EVERIST For For For
4 MARK E. GRIFFIN For For For
5 KEVIN T. KIRBY For For For
6 MARC E. LEBARON For For For
7 DANIEL A. RYKHUS For For For
8 HEATHER A. WILSON For For For
2. TO APPROVE, BY A NON-BINDING Management For For For
ADVISORY VOTE, THE COMPENSATION
OF OUR EXECUTIVE OFFICERS
DISCLOSED IN THE PROXY
STATEMENT.
3. TO APPROVE, BY A NON-BINDING Management 1 Year 1 Year For
ADVISORY VOTE, THE PREFERRED
FREQUENCY OF ADVISORY VOTES ON
EXECUTIVE COMPENSATION.
4. TO RENEW THE MATERIAL TERMS OF Management For For For
THE PERFORMANCE-BASED GOALS
UNDER THE COMPANY'S 2010 STOCK
INCENTIVE PLAN, AS AMENDED, TO
ALLOW CERTAIN GRANTS AND
AWARDS TO CONTINUE TO QUALIFY AS
PERFORMANCE-BASED
COMPENSATION UNDER INTERNAL
REVENUE CODE SECTION 162(M).
5. PROPOSAL TO RATIFY THE Management For For For
APPOINTMENT OF DELOITTE &
TOUCHE, LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE
COMPANY'S CURRENT FISCAL YEAR.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 13,405 0 22-Apr-2017 26-May-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
-----------------------------------------------------------------------------------------
THE ADVISORY BOARD COMPANY
-----------------------------------------------------------------------------------------
SECURITY 00762W107 MEETING TYPE Annual
TICKER SYMBOL ABCO MEETING DATE 31-May-2017
ISIN US00762W1071 AGENDA 934599006 - Management
RECORD DATE 13-Apr-2017 HOLDING RECON DATE 13-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 30-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: SANJU K. Management For For For
BANSAL
1B. ELECTION OF DIRECTOR: DAVID L. Management For For For
FELSENTHAL
1C. ELECTION OF DIRECTOR: PETER J. Management For For For
GRUA
1D. ELECTION OF DIRECTOR: NANCY Management For For For
KILLEFER
1E. ELECTION OF DIRECTOR: KELT Management For For For
KINDICK
1F. ELECTION OF DIRECTOR: ROBERT W. Management For For For
MUSSLEWHITE
1G. ELECTION OF DIRECTOR: MARK R. Management For For For
NEAMAN
1H. ELECTION OF DIRECTOR: LEON D. Management For For For
SHAPIRO
1I. ELECTION OF DIRECTOR: LEANNE M. Management For For For
ZUMWALT
2. RATIFICATION OF THE SELECTION OF Management For For For
ERNST & YOUNG LLP AS THE
COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2017.
3. APPROVAL OF 2009 INCENTIVE PLAN Management For For For
AMENDMENT AS DESCRIBED IN THE
ACCOMPANYING PROXY STATEMENT.
4. APPROVAL, BY AN ADVISORY VOTE, OF Management For For For
THE ADVISORY BOARD COMPANY'S
NAMED EXECUTIVE OFFICER
COMPENSATION AS DESCRIBED IN THE
ACCOMPANYING PROXY STATEMENT.
5. ADVISORY VOTE ON WHETHER THE Management 1 Year 1 Year For
ADVISORY BOARD COMPANY SHOULD
HOLD AN ADVISORY VOTE BY
STOCKHOLDERS TO APPROVE THE
COMPANY'S NAMED EXECUTIVE
OFFICER COMPENSATION EVERY 1, 2
OR 3 YEARS.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 10,706 0 22-Apr-2017 01-Jun-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 11
-----------------------------------------------------------------------------------------
EXPONENT, INC.
-----------------------------------------------------------------------------------------
SECURITY 30214U102 MEETING TYPE Annual
TICKER SYMBOL EXPO MEETING DATE 01-Jun-2017
ISIN US30214U1025 AGENDA 934587429 - Management
RECORD DATE 04-Apr-2017 HOLDING RECON DATE 04-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 31-May-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1.1 ELECTION OF DIRECTOR: MICHAEL R. Management For For For
GAULKE
1.2 ELECTION OF DIRECTOR: PAUL R. Management For For For
JOHNSTON, PH.D.
1.3 ELECTION OF DIRECTOR: CAROL Management For For For
LINDSTROM
1.4 ELECTION OF DIRECTOR: KAREN A. Management For For For
RICHARDSON
1.5 ELECTION OF DIRECTOR: JOHN B. Management For For For
SHOVEN, PH.D.
1.6 ELECTION OF DIRECTOR: DEBRA L. Management For For For
ZUMWALT
2. TO RATIFY THE APPOINTMENT OF Management For For For
KPMG LLP, AN INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM, AS INDEPENDENT AUDITOR FOR
THE FISCAL YEAR ENDED DECEMBER
29, 2017.
3. ADVISORY VOTE TO APPROVE THE Management For For For
COMPENSATION OF THE COMPANY'S
NAMED EXECUTIVE OFFICERS FOR
FISCAL 2016.
4. TO RECOMMEND, BY NON-BINDING Management 1 Year 1 Year For
VOTE, THE FREQUENCY OF EXECUTIVE
COMPENSATION VOTES.
5. TO CONSIDER AND APPROVE AN Management For For For
AMENDMENT OF THE AMENDED AND
RESTATED 2008 EQUITY INCENTIVE
PLAN.
6. TO CONSIDER AND APPROVE AN Management For For For
AMENDMENT OF THE 2008 EMPLOYEE
STOCK PURCHASE PLAN.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 6,042 0 19-Apr-2017 02-Jun-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
-----------------------------------------------------------------------------------------
MTS SYSTEMS CORPORATION
-----------------------------------------------------------------------------------------
SECURITY 553777103 MEETING TYPE Annual
TICKER SYMBOL MTSC MEETING DATE 06-Jun-2017
ISIN US5537771033 AGENDA 934601279 - Management
RECORD DATE 17-Apr-2017 HOLDING RECON DATE 17-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 05-Jun-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 DAVID J. ANDERSON For For For
2 JEFFREY A. GRAVES For For For
3 DAVID D. JOHNSON For For For
4 RANDY J. MARTINEZ For For For
5 MICHAEL V. SCHROCK For For For
6 GAIL P. STEINEL For For For
7 MAXIMILIANE C. STRAUB For For For
8 CHUN HUNG (KENNETH) YU For For For
2. TO RATIFY THE APPOINTMENT OF Management For For For
KPMG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING SEPTEMBER 30, 2017.
3. TO APPROVE, IN A NON-BINDING, Management For For For
ADVISORY VOTE, THE COMPENSATION
OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS.
4. TO APPROVE, IN A NON-BINDING, Management 1 Year 1 Year For
ADVISORY VOTE, THE FREQUENCY OF
THE VOTE ON THE COMPENSATION OF
THE COMPANY'S NAMED EXECUTIVE
OFFICERS.
5. TO APPROVE THE COMPANY'S 2017 Management For For For
STOCK INCENTIVE PLAN.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 7,604 0 26-Apr-2017 07-Jun-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 12
-----------------------------------------------------------------------------------------
NATUS MEDICAL INCORPORATED
-----------------------------------------------------------------------------------------
SECURITY 639050103 MEETING TYPE Annual
TICKER SYMBOL BABY MEETING DATE 21-Jun-2017
ISIN US6390501038 AGENDA 934611991 - Management
RECORD DATE 24-Apr-2017 HOLDING RECON DATE 24-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 20-Jun-2017
States
SEDOL(S) QUICK CODE
--------------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
--------------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: MR. Management For For For
KENNETH E. LUDLUM
1B. ELECTION OF DIRECTOR: MS. Management For For For
BARBARA R. PAUL
2. TO RATIFY THE APPOINTMENT OF Management For For For
KPMG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE CURRENT FISCAL YEAR.
3. ADVISORY APPROVAL OF THE Management 1 Year 1 Year For
FREQUENCY OF STOCKHOLDERS SAY-
ON-PAY VOTE ON NAMED EXECUTIVE
COMPENSATION.
4. ADVISORY APPROVAL OF THE Management For For For
COMPANY'S NAMED EXECUTIVE
OFFICER COMPENSATION.
--------------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT INTERNAL UNAVAILABLE DATE
NUMBER NAME ACCOUNT CUSTODIAN BALLOT SHARES SHARES VOTE DATE CONFIRMED
--------------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 10,069 0 29-Apr-2017 22-Jun-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN &
CO.
Page 13
--------------------------------------------------------------------------------
FIRST TRUST PREFERRED SECURITIES AND INCOME FUND
--------------------------------------------------------------------------------
The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
Page 14
--------------------------------------------------------------------------------
FIRST TRUST AQA(R) EQUITY FUND
--------------------------------------------------------------------------------
Abaxis, Inc.
--------------------------------------------------------------------------------
Ticker ABAX
Provider Security ID 002567105
Meeting Date 26-Oct-16
Record Date 31-Aug-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Clinton H. Severson For For Yes
Mgmt Elect Vernon E. Altman For For Yes
Mgmt Elect Richard J. Bastiani For For Yes
Mgmt Elect Michael D. Casey For For Yes
Mgmt Elect Henk J. Evenhuis For For Yes
Mgmt Elect Prithipal Singh For For Yes
Mgmt Amendment to the 2014 Equity Incentive Plan For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Ratification of Auditor For For Yes
ABIOMED, Inc.
--------------------------------------------------------------------------------
Ticker ABMD
Provider Security ID 003654100
Meeting Date 10-Aug-16
Record Date 24-Jun-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Michael R. Minogue For For Yes
Mgmt Elect Martin P. Sutter For For Yes
Mgmt Advisory Vote on Executive Compensation For Against Yes
Mgmt Amendment to the 2015 Omnibus Incentive Plan For Against Yes
Mgmt Ratification of Auditor For For Yes
Affiliated Managers Group, Inc.
--------------------------------------------------------------------------------
Ticker AMG
Provider Security ID 008252108
Meeting Date 13-Jun-17
Record Date 17-Apr-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Samuel T. Byrne For For Yes
Mgmt Elect Dwight D. Churchill For For Yes
Mgmt Elect Glenn Earle For For Yes
Mgmt Elect Niall Ferguson For For Yes
Mgmt Elect Sean M. Healey For For Yes
Mgmt Elect Tracy P. Palandjian For For Yes
Mgmt Elect Patrick T. Ryan For Against Yes
Mgmt Elect Jide J. Zeitlin For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Amendment to the Certificate of Incorporation to Permit For For Yes
Removal of Directors Without Cause
Mgmt Ratification of Auditor For For Yes
Allergan plc
--------------------------------------------------------------------------------
Ticker AGN
Provider Security ID G0177J108
Meeting Date 04-May-17
Record Date 08-Mar-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Nesli Basgoz For For Yes
Mgmt Elect Paul M. Bisaro For For Yes
Mgmt Elect James H. Bloem For For Yes
Mgmt Elect Christopher W. Bodine For For Yes
Mgmt Elect Adriane M. Brown For For Yes
Mgmt Elect Christopher J. Coughlin For For Yes
Mgmt Elect Catherine M. Klema For For Yes
Mgmt Elect Peter J. McDonnell For For Yes
Mgmt Elect Patrick J. O'Sullivan For For Yes
Mgmt Elect Brenton L. Saunders For For Yes
Mgmt Elect Ronald R. Taylor For For Yes
Mgmt Elect Fred G. Weiss For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Approval of performance goals under the 2017 Annual For For Yes
Incentive Compensation Plan
ShrHoldr Shareholder Proposal Regarding Against Against Yes
Independent Board Chair
Alliance Data Systems Corporation
--------------------------------------------------------------------------------
Ticker ADS
Provider Security ID 018581108
Meeting Date 07-Jun-17
Record Date 07-Apr-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Bruce K. Anderson For For Yes
Mgmt Elect Roger H. Ballou For For Yes
Mgmt Elect Kelly J. Barlow For For Yes
Mgmt Elect D. Keith Cobb For For Yes
Mgmt Elect E. Linn Draper, Jr. For For Yes
Mgmt Elect Edward J. Heffernan For For Yes
Mgmt Elect Kenneth R. Jensen For For Yes
Mgmt Elect Robert A. Minicucci For For Yes
Mgmt Elect Timothy J. Theriault For For Yes
Mgmt Elect Laurie A. Tucker For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
Page 15
Anika Therapeutics, Inc.
--------------------------------------------------------------------------------
Ticker ANIK
Provider Security ID 035255108
Meeting Date 13-Jun-17
Record Date 17-Apr-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Charles H. Sherwood For For Yes
Mgmt Elect Steven E. Wheeler For For Yes
Mgmt Approval of the 2017 Omnibus Incentive Plan For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Arctic Cat Inc.
--------------------------------------------------------------------------------
Ticker ACAT
Provider Security ID 039670104
Meeting Date 25-Jul-16
Record Date 27-May-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Andrew S. Duff For For Yes
Mgmt Elect Susan E. Lester For For Yes
Mgmt Elect Christopher T. Metz For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Amendment to the 2013 Stock Incentive Plan For For Yes
Atwood Oceanics, Inc.
--------------------------------------------------------------------------------
Ticker ATW
Provider Security ID 050095108
Meeting Date 15-Feb-17
Record Date 16-Dec-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect George S. Dotson For For Yes
Mgmt Elect Jack E. Golden For For Yes
Mgmt Elect Hans Helmerich For For Yes
Mgmt Elect Jeffrey A. Miller For For Yes
Mgmt Elect James R. Montague For For Yes
Mgmt Elect Robert J. Saltiel For For Yes
Mgmt Elect Phil D. Wedemeyer For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Amendment to the 2013 Long-Term Incentive Plan For Against Yes
Mgmt Ratification of Auditor For For Yes
Bed Bath & Beyond Inc.
--------------------------------------------------------------------------------
Ticker BBBY
Provider Security ID 075896100
Meeting Date 29-Jun-17
Record Date 05-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Warren Eisenberg For For Yes
Mgmt Elect Leonard Feinstein For For Yes
Mgmt Elect Steven H. Temares For For Yes
Mgmt Elect Dean S. Adler For For Yes
Mgmt Elect Stanley F. Barshay For For Yes
Mgmt Elect Klaus Eppler For For Yes
Mgmt Elect Patrick R. Gaston For For Yes
Mgmt Elect Jordan Heller For For Yes
Mgmt Elect Victoria A. Morrison For For Yes
Mgmt Elect Virginia P. Ruesterholz For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Re-Approval of the Performance Goals Under the 2012 For For Yes
Incentive Compensation Plan
Bed Bath & Beyond Inc.
--------------------------------------------------------------------------------
Ticker BBBY
Provider Security ID 075896100
Meeting Date 01-Jul-16
Record Date 06-May-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Warren Eisenberg For For Yes
Mgmt Elect Leonard Feinstein For For Yes
Mgmt Elect Steven H. Temares For For Yes
Mgmt Elect Dean S. Adler For For Yes
Mgmt Elect Stanley F. Barshay For For Yes
Mgmt Elect Gerri T. Elliott For For Yes
Mgmt Elect Klaus Eppler For For Yes
Mgmt Elect Patrick R. Gaston For For Yes
Mgmt Elect Jordan Heller For For Yes
Mgmt Elect Victoria A. Morrison For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Advisory Vote on Executive Compensation For Against Yes
ShrHoldr Shareholder Proposal Regarding Proxy Access Against For Yes
ShrHoldr Shareholder Proposal Regarding Retention of Shares Against Against Yes
Until Normal Retirement Age
ShrHoldr Shareholder Proposal RegardingApproval of Severance Against For Yes
Agreements
Page 16
Cal-Maine Foods, Inc.
--------------------------------------------------------------------------------
Ticker CALM
Provider Security ID 128030202
Meeting Date 30-Sep-16
Record Date 05-Aug-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Adolphus B. Baker For Withhold Yes
Mgmt Elect Timothy A. Dawson For Withhold Yes
Mgmt Elect Letitia C. Hughes For For Yes
Mgmt Elect Sherman Miller For For Yes
Mgmt Elect James E. Poole For For Yes
Mgmt Elect Steve W. Sanders For For Yes
Mgmt Ratification of Auditor For For Yes
Calgon Carbon Corporation
--------------------------------------------------------------------------------
Ticker CCC
Provider Security ID 129603106
Meeting Date 04-May-17
Record Date 10-Mar-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Randall S. Dearth For For Yes
Mgmt Elect John J. Paro For For Yes
Mgmt Elect Timothy G. Rupert For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on 1 Year 1 Year Yes
Executive Compensation
Mgmt Ratification of Auditor For For Yes
Mgmt Amendment to the 2008 Equity For For Yes
Incentive Plan
Cognex Corporation
--------------------------------------------------------------------------------
Ticker CGNX
Provider Security ID 192422103
Meeting Date 27-Apr-17
Record Date 03-Mar-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Patrick A. Alias For For Yes
Mgmt Elect Theodor Krantz For For Yes
Mgmt Elect J. Bruce Robinson For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
ShrHoldr Shareholder Proposal Regarding Board Diversity Against For Yes
Constellation Brands, Inc.
--------------------------------------------------------------------------------
Ticker STZ
Provider Security ID 21036P108
Meeting Date 20-Jul-16
Record Date 23-May-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Jerry Fowden For For Yes
Mgmt Elect Barry A. Fromberg For For Yes
Mgmt Elect Robert L. Hanson For For Yes
Mgmt Elect Ernesto M. Hernandez For For Yes
Mgmt Elect James A. Locke III For Withhold Yes
Mgmt Elect Daniel J. McCarthy For For Yes
Mgmt Elect Richard Sands For For Yes
Mgmt Elect Robert Sands For For Yes
Mgmt Elect Judy A. Schmeling For For Yes
Mgmt Elect Keith E. Wandell For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Dana Incorporated
--------------------------------------------------------------------------------
Ticker DAN
Provider Security ID 235825205
Meeting Date 27-Apr-17
Record Date 27-Feb-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Rachel A. Gonzalez For For Yes
Mgmt Elect James K. Kamsickas For For Yes
Mgmt Elect Virginia A. Kamsky For For Yes
Mgmt Elect Terrence J. Keating For For Yes
Mgmt Elect Raymond E. Mabus, Jr. For For Yes
Mgmt Elect R. Bruce McDonald For For Yes
Mgmt Elect Mark A. Schulz For For Yes
Mgmt Elect Keith E. Wandell For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Approval of 2017 Omnibus Incentive Plan For For Yes
Mgmt Ratification of Auditor For For Yes
ShrHoldr Shareholder Proposal Regarding Against For Yes
Simple Majority Vote
Page 17
Delta Air Lines, Inc.
--------------------------------------------------------------------------------
Ticker DAL
Provider Security ID 247361702
Meeting Date 30-Jun-17
Record Date 03-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Edward H. Bastian For For Yes
Mgmt Elect Francis S. Blake For For Yes
Mgmt Elect Daniel A. Carp For For Yes
Mgmt Elect David G. DeWalt For For Yes
Mgmt Elect William H. Easter III For For Yes
Mgmt Elect Mickey P. Foret For For Yes
Mgmt Elect Jeanne P. Jackson For For Yes
Mgmt Elect George N. Mattson For For Yes
Mgmt Elect Douglas R Ralph For For Yes
Mgmt Elect Sergio A. L. Rial For For Yes
Mgmt Elect Kathy N. Waller For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
Dollar General Corporation
--------------------------------------------------------------------------------
Ticker DG
Provider Security ID 256677105
Meeting Date 31-May-17
Record Date 23-Mar-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Warren F. Bryant For For Yes
Mgmt Elect Michael M. Calbert For For Yes
Mgmt Elect Sandra B. Cochran For Against Yes
Mgmt Elect Patricia Fili-Krushel For For Yes
Mgmt Elect Paula A. Price For For Yes
Mgmt Elect William C. Rhodes III For For Yes
Mgmt Elect David B. Rickard For For Yes
Mgmt Elect Todd J. Vasos For For Yes
Mgmt Amendment to the 2007 Stock Incentive Plan For For Yes
Mgmt Reapproval of the Material Terms under the Annual For For Yes
Incentive Plan
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 3 Years 1 Year Yes
Mgmt Ratification of Auditor For For Yes
First Cash Financial Services, Inc.
--------------------------------------------------------------------------------
Ticker FCFS
Provider Security ID 31942D107
Meeting Date 31-Aug-16
Record Date 29-Jul-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Merger For For Yes
Mgmt Advisory Vote on Golden Parachutes For Against Yes
Mgmt Right to Adjourn Meeting For For Yes
Gilead Sciences, Inc.
--------------------------------------------------------------------------------
Ticker GILD
Provider Security ID 375558103
Meeting Date 10-May-17
Record Date 16-Mar-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect John F. Cogan For For Yes
Mgmt Elect Kelly A. Kramer For For Yes
Mgmt Elect Kevin E. Lofton For For Yes
Mgmt Elect John C. Martin For For Yes
Mgmt Elect John F. Milligan For For Yes
Mgmt Elect Nicholas G. Moore For For Yes
Mgmt Elect Richard J. Whitley For For Yes
Mgmt Elect Gayle E. Wilson For For Yes
Mgmt Elect Per Wold-Olsen For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Amendment to the 2004 Equity Incentive Plan For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
ShrHoldr Shareholder Proposal Regarding Right to Act by Against For Yes
Written Consent
ShrHoldr Shareholder Proposal Regarding Independent Board Chair Against Against Yes
Graco Inc.
--------------------------------------------------------------------------------
Ticker GGG
Provider Security ID 384109104
Meeting Date 28-Apr-17
Record Date 27-Feb-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Patrick J. McHale For For Yes
Mgmt Elect Lee R. Mitau For For Yes
Mgmt Elect Martha Morfitt For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Approval of the Incentive Bonus Plan For For Yes
Page 18
KB Home
--------------------------------------------------------------------------------
Ticker KBH
Provider Security ID 48666K109
Meeting Date 13-Apr-17
Record Date 10-Feb-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Timothy W. Finchem For For Yes
Mgmt Elect Stuart A. Gabriel For For Yes
Mgmt Elect Thomas W. Gilligan For For Yes
Mgmt Elect Kenneth M. Jastrow II For For Yes
Mgmt Elect Robert L. Johnson For Against Yes
Mgmt Elect Melissa Lora For For Yes
Mgmt Elect Jeffrey T. Mezger For For Yes
Mgmt Elect Robert L. Patton, Jr. For Against Yes
Mgmt Elect Michael M. Wood For For Yes
Mgmt Advisory Vote on Executive Compensation For Against Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
Korn/Ferry International
--------------------------------------------------------------------------------
Ticker KFY
Provider Security ID 500643200
Meeting Date 06-Oct-16
Record Date 17-Aug-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Doyle N. Beneby For For Yes
Mgmt Elect Gary D. Burnison For For Yes
Mgmt Elect William R. Floyd For For Yes
Mgmt Elect Christina A. Gold For For Yes
Mgmt Elect Jerry Leamon For For Yes
Mgmt Elect Debra J. Perry For For Yes
Mgmt Elect George T. Shaheen For For Yes
Mgmt Advisory Vote on Executive Compensation For Against Yes
Mgmt Amendment to the 2008 Stock Incentive Plan For For Yes
Mgmt Ratification of Auditor For For Yes
Lam Research Corporation
--------------------------------------------------------------------------------
Ticker LRCX
Provider Security ID 512807108
Meeting Date 09-Nov-16
Record Date 13-Sep-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Martin B. Anstice For For Yes
Mgmt Elect Eric K. Brandt For For Yes
Mgmt Elect Michael R. Cannon For For Yes
Mgmt Elect Youssef A. El-Mansy For For Yes
Mgmt Elect Christine A. Heckart For For Yes
Mgmt Elect Catherine P. Lego For For Yes
Mgmt Elect Stephen Newberry For For Yes
Mgmt Elect Abhijit Y. Talwalkar For For Yes
Mgmt Elect Rick Lih-Shyng Tsai For Withhold Yes
Mgmt Elect John T. Dickson For Withhold Yes
Mgmt Elect Gary B. Moore For Withhold Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Ratification of Auditor For For Yes
Monolithic Power Systems, Inc.
--------------------------------------------------------------------------------
Ticker MPWR
Provider Security ID 609839105
Meeting Date 15-Jun-17
Record Date 18-Apr-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Victor K. Lee For For Yes
Mgmt Elect James C. Moyer For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on 1 Year 1 Year Yes
Executive Compensation
MSCI Inc.
--------------------------------------------------------------------------------
Ticker MSCI
Provider Security ID 55354G100
Meeting Date 11-May-17
Record Date 15-Mar-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Henry A. Fernandez For For Yes
Mgmt Elect Robert G. Ashe For For Yes
Mgmt Elect Benjamin F. duPont For For Yes
Mgmt Elect Wayne Edmunds For For Yes
Mgmt Elect Alice W. Handy For For Yes
Mgmt Elect Catherine R. Kinney For For Yes
Mgmt Elect Wendy E. Lane For For Yes
Mgmt Elect Jacques P. Perold For For Yes
Mgmt Elect Linda H. Riefler For For Yes
Mgmt Elect George W. Siguler For For Yes
Mgmt Elect Patrick Tierney For For Yes
Mgmt Elect Rodolphe M. Vallee For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
Page 19
Nautilus, Inc.
--------------------------------------------------------------------------------
Ticker NLS
Provider Security ID 63910B102
Meeting Date 25-Apr-17
Record Date 09-Mar-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Ronald P. Badie For For Yes
Mgmt Elect Bruce M. Cazenave For For Yes
Mgmt Elect Richard A. Horn For For Yes
Mgmt Elect M. Carl Johnson, III For For Yes
Mgmt Elect Anne G. Saunders For For Yes
Mgmt Elect Marvin G. Siegert For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Ratification of Auditor For For Yes
Old Dominion Freight Line, Inc.
--------------------------------------------------------------------------------
Ticker ODFL
Provider Security ID 679580100
Meeting Date 17-May-17
Record Date 09-Mar-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Earl E. Congdon For For Yes
Mgmt Elect David S. Congdon For For Yes
Mgmt Elect John R. Congdon, Jr. For For Yes
Mgmt Elect Robert G. Culp, III For Withhold Yes
Mgmt Elect Bradley R. Gabosch For For Yes
Mgmt Elect Patrick D. Hanley For For Yes
Mgmt Elect John D. Kasarda For For Yes
Mgmt Elect Leo H. Suggs For For Yes
Mgmt Elect D. Michael Wray For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
Outerwall Inc.
--------------------------------------------------------------------------------
Ticker OUTR
Provider Security ID 690070107
Meeting Date 07-Jul-16
Record Date 26-May-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Nora M. Denzel For For Yes
Mgmt Elect Erik E. Prusch For For Yes
Mgmt Amendment to the 2011 Incentive Plan For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Ratification of Auditor For Against Yes
Progress Software Corporation
--------------------------------------------------------------------------------
Ticker PRGS
Provider Security ID 743312100
Meeting Date 15-Jun-17
Record Date 28-Apr-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Paul Dacier For For Yes
Mgmt Elect John R. Egan For For Yes
Mgmt Elect Rainer Gawlick For For Yes
Mgmt Elect Yogesh Gupta For For Yes
Mgmt Elect Charles F. Kane For For Yes
Mgmt Elect David A. Krall For For Yes
Mgmt Elect Michael L. Mark For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
Saia, Inc.
--------------------------------------------------------------------------------
Ticker SAIA
Provider Security ID 78709Y105
Meeting Date 27-Apr-17
Record Date 08-Mar-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect John P. Gainor, Jr. For For Yes
Mgmt Elect Randolph W. Melville For For Yes
Mgmt Elect Bjorn E. Olsson For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
Page 20
Skechers U.S.A., Inc.
--------------------------------------------------------------------------------
Ticker SKX
Provider Security ID 830566105
Meeting Date 23-May-17
Record Date 31-Mar-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Geyer Kosinski For For Yes
Mgmt Elect Richard Rappaport For For Yes
Mgmt Elect Richard Siskind For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 3 Years 1 Year Yes
Mgmt Approval of the 2017 Incentive Award Plan For For Yes
Mgmt Approval of the 2018 Employee Stock Purchase Plan For For Yes
ShrHoldr Shareholder Proposal Regarding Board Diversity Against For Yes
Sonic Corp.
--------------------------------------------------------------------------------
Ticker SONC
Provider Security ID 835451105
Meeting Date 19-Jan-17
Record Date 21-Nov-16
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Tony D. Bartel For For Yes
Mgmt Elect Steven A. Davis For For Yes
Mgmt Elect Lauren R. Hobart For For Yes
Mgmt Elect Jeffrey H. Schutz For For Yes
Mgmt Elect Kathryn L. Taylor For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Amendment to the Senior Executive Cash Incentive Plan For For Yes
Southwest Airlines Co.
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Ticker LUV
Provider Security ID 844741108
Meeting Date 17-May-17
Record Date 21-Mar-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect David W. Biegler For For Yes
Mgmt Elect J. Veronica Biggins For For Yes
Mgmt Elect Douglas H. Brooks For For Yes
Mgmt Elect William H. Cunningham For Against Yes
Mgmt Elect John G. Denison For For Yes
Mgmt Elect Thomas W. Gilligan For For Yes
Mgmt Elect Gary C. Kelly For For Yes
Mgmt Elect Grace D. Lieblein For For Yes
Mgmt Elect Nancy B. Loeffler For For Yes
Mgmt Elect John T. Montford For For Yes
Mgmt Elect Ron Ricks For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
SYNNEX Corporation
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Ticker SNX
Provider Security ID 87162W100
Meeting Date 21-Mar-17
Record Date 07-Feb-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Dwight A. Steffensen For For Yes
Mgmt Elect Kevin M. Murai For For Yes
Mgmt Elect Fred A. Breidenbach For For Yes
Mgmt Elect Hau Lee For For Yes
Mgmt Elect MIAO Feng-Qiang For Withhold Yes
Mgmt Elect Dennis Polk For For Yes
Mgmt Elect Gregory Quesnel For For Yes
Mgmt Elect Ann Vezina For For Yes
Mgmt Elect Thomas Wurster For For Yes
Mgmt Elect Duane E. Zitzner For For Yes
Mgmt Elect Andrea M. Zulberti For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Ratification of Auditor For For Yes
Trex Company, Inc.
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Ticker TREX
Provider Security ID 89531P105
Meeting Date 03-May-17
Record Date 06-Mar-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Jay M. Gratz For For Yes
Mgmt Elect Ronald W. Kaplan For For Yes
Mgmt Elect Gerald Volas For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Frequency of Advisory Vote on 1 Year 1 Year Yes
Executive Compensation
Page 21
Trinity Industries, Inc.
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Ticker TRN
Provider Security ID 896522109
Meeting Date 01-May-17
Record Date 10-Mar-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect John L. Adams For For Yes
Mgmt Elect Rhys J. Best For For Yes
Mgmt Elect David W. Biegler For For Yes
Mgmt Elect Antonio Carrillo For For Yes
Mgmt Elect Leldon E. Echols For For Yes
Mgmt Elect Ronald J. Gafford For For Yes
Mgmt Elect Adrian Lajous For For Yes
Mgmt Elect Charles W. Matthews For For Yes
Mgmt Elect Douglas L. Rock For For Yes
Mgmt Elect Dunia A. Shive For For Yes
Mgmt Elect Timothy R. Wallace For For Yes
Mgmt Amendment to the 2004 Stock Option and Incentive Plan For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Advisory Vote on Executive Compensation For Against Yes
Mgmt Ratification of Auditor For For Yes
Tyco International plc
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Ticker TYC
Provider Security ID G91442106
Meeting Date 17-Aug-16
Record Date 27-Jun-16
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Amendments to Memorandum For For Yes
Mgmt Amendments to Articles For For Yes
Mgmt Share Consolidation For For Yes
Mgmt Increase of Authorized Capital For For Yes
(Pre-Merger)
Mgmt Merger Issuance For For Yes
Mgmt Company Name Change For For Yes
Mgmt Increase of Authorized Capital For For Yes
(Post-Merger)
Mgmt Authority to Issue Shares w/ For For Yes
Preemptive Rights (Post-Merger)
Mgmt Authority to Issue Shares w/o For For Yes
Preemptive Rights (Post-Merger)
Mgmt Amendment to Nominal Value For For Yes
Mgmt Reduction in Share Premium Account For For Yes
Valero Energy Corporation
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Ticker VLO
Provider Security ID 91913Y100
Meeting Date 03-May-17
Record Date 07-Mar-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect H. Paulett Eberhart For For Yes
Mgmt Elect Joseph W. Gorder For For Yes
Mgmt Elect Kimberly S. Greene For For Yes
Mgmt Elect Deborah P. Majoras For For Yes
Mgmt Elect Donald L. Nickles For For Yes
Mgmt Elect Philip J. Pfeiffer For For Yes
Mgmt Elect Robert A. Profusek For For Yes
Mgmt Elect Susan Kaufman Purcell For For Yes
Mgmt Elect Stephen M. Waters For For Yes
Mgmt Elect Randall J. Weisenburger For For Yes
Mgmt Elect Rayford Wilkins Jr. For For Yes
Mgmt Ratification of Auditor For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Wabash National Corporation
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Ticker WNC
Provider Security ID 929566107
Meeting Date 18-May-17
Record Date 20-Mar-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Richard J. Giromini For For Yes
Mgmt Elect Martin C. Jischke For For Yes
Mgmt Elect John E. Kunz For For Yes
Mgmt Elect Larry J. Magee For For Yes
Mgmt Elect Ann D. Murtlow For For Yes
Mgmt Elect Scott K. Sorensen For For Yes
Mgmt Elect Brent L. Yeagy For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Frequency of Advisory Vote on Executive Compensation 1 Year 1 Year Yes
Mgmt Approval of the 2017 Omnibus Incentive Plan For For Yes
Mgmt Ratification of Auditor For For Yes
Winnebago Industries, Inc.
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Ticker WGO
Provider Security ID 974637100
Meeting Date 13-Dec-16
Record Date 10-Oct-16
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Michael J. Happe For For Yes
Mgmt Elect Robert M. Chiusano For For Yes
Mgmt Advisory Vote on Executive Compensation For For Yes
Mgmt Ratification of Auditor For For Yes
WisdomTree Investments, Inc.
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Ticker WETF
Provider Security ID 97717P104
Meeting Date 20-Jun-17
Record Date 27-Apr-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Frank Salerno For For Yes
Mgmt Elect R. Jarrett Lilien For For Yes
Mgmt Elect Jonathan Steinberg For For Yes
Mgmt Ratification of Auditor For For Yes
Page 22
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FIRST TRUST SHORT DURATION HIGH INCOME FUND
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MEETING DATE COMPANY TICKER SECURITY ID
05/16/17 Vistra Energy Corp. VST 92840M102
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Gavin R. Baiera For For Mgmt
1.2 Elect Director Curtis A. Morgan For For Mgmt
2 Advisory Vote to Ratify Named Executive For For Mgmt
Officers' Compensation
3 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/24/17 New Millennium Holdco, Inc. NMLH 01367912D
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Ronald A. Rittenmeyer For For Mgmt
1.2 Elect Director Eugene I. Davis For For Mgmt
1.3 Elect Director Jeffrey D. Goldberg For For Mgmt
1.4 Elect Director Stephen Gray For For Mgmt
1.5 Elect Director Joan B. Stafslien For For Mgmt
Page 23
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) First Trust Series Fund
-----------------------------------------
By (Signature and Title)* /s/ James M. Dykas
-----------------------------------
James M. Dykas, President and
Chief Executive Officer
Date July 31, 2017
-------------------------
* Print the name and title of each signing officer under his or her signature.