UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File No. 811-22559
First Trust Exchange-Traded Fund IV
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Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
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Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: October 31
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Date of reporting period: July 1, 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 NORTH AMERICAN ENERGY INFRASTRUCTURE FUND
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TransMontaigne Partners L.P.
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Ticker TLP
Primary CUSIP 89376V100
Meeting Date 12-Jul-16
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Approve Omnibus Stock Plan Yes No
National Grid plc
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Ticker NG.
Primary CUSIP G6375K151
Meeting Date 25-Jul-16
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Accept Financial Statements and Statutory Yes No
Reports
Management Approve Final Dividend Yes No
Management Re-elect Sir Peter Gershon as Director Yes No
Management Re-elect John Pettigrew as Director Yes No
Management Re-elect Andrew Bonfield as Director Yes No
Management Re-elect Dean Seavers as Director Yes No
Management Elect Nicola Shaw as Director Yes No
Management Re-elect Nora Mead Brownell as Director Yes No
Management Re-elect Jonathan Dawson as Director Yes No
Management Re-elect Therese Esperdy as Director Yes No
Management Re-elect Paul Golby as Director Yes No
Management Re-elect Ruth Kelly as Director Yes No
Management Re-elect Mark Williamson as Director Yes No
Management Reappoint PricewaterhouseCoopers LLP as Yes No
Auditors
Management Authorise Board to Fix Remuneration of Yes No
Auditors
Management Approve Remuneration Report Yes No
Management Authorise EU Political Donations and Yes No
Expenditure
Management Authorise Issue of Equity with Pre-emptive Yes No
Rights
Management Authorise Issue of Equity without Pre-emptive Yes No
Rights
Management Authorise Market Purchase of Ordinary Shares Yes No
Management Authorise the Company to Call General Meeting Yes No
with 14 Working Days' Notice
The Williams Companies, Inc.
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Ticker WMB
Primary CUSIP 969457100
Meeting Date 23-Nov-16
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Alan S. Armstrong Yes No
Management Elect Director Stephen W. Bergstrom Yes No
Management Elect Director Stephen I. Chazen Yes No
Management Elect Director Kathleen B. Cooper Yes No
Management Elect Director Peter A. Ragauss Yes No
Management Elect Director Scott D. Sheffield Yes No
Management Elect Director Murray D. Smith Yes No
Management Elect Director William H. Spence Yes No
Management Elect Director Janice D. Stoney Yes No
Management Ratify Ernst & Young LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Enbridge Inc.
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Ticker ENB
Primary CUSIP 29250N105
Meeting Date 15-Dec-16
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Issue Shares in Connection with the Merger Yes No
Management Amend By-Law No.1 Yes No
Management Issue Shares in Connection with the Merger Yes No
Management Amend By-Law No.1 Yes No
Spectra Energy Corp
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Ticker SE
Primary CUSIP 847560109
Meeting Date 15-Dec-16
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Approve Merger Agreement Yes No
Management Advisory Vote on Golden Parachutes Yes No
UGI Corporation
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Ticker UGI
Primary CUSIP 902681105
Meeting Date 24-Jan-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director M. Shawn Bort Yes No
Management Elect Director Richard W. Gochnauer Yes No
Management Elect Director Frank S. Hermance Yes No
Management Elect Director Anne Pol Yes No
Management Elect Director Marvin O. Schlanger Yes No
Management Elect Director James B. Stallings, Jr. Yes No
Management Elect Director Roger B. Vincent Yes No
Management Elect Director John L. Walsh Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Ratify Ernst & Young LLP as Auditors Yes No
New Jersey Resources Corporation
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Ticker NJR
Primary CUSIP 646025106
Meeting Date 25-Jan-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Jane M. Kenny Yes No
Management Elect Director Sharon C. Taylor Yes No
Management Elect Director David A. Trice Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Approve Omnibus Stock Plan Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Atmos Energy Corporation
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Ticker ATO
Primary CUSIP 049560105
Meeting Date 08-Feb-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Robert W. Best Yes No
Management Elect Director Kim R. Cocklin Yes No
Management Elect Director Kelly H. Compton Yes No
Management Elect Director Richard W. Douglas Yes No
Management Elect Director Ruben E. Esquivel Yes No
Management Elect Director Rafael G. Garza Yes No
Management Elect Director Richard K. Gordon Yes No
Management Elect Director Robert C. Grable Yes No
Management Elect Director Michael E. Haefner Yes No
Management Elect Director Nancy K. Quinn Yes No
Management Elect Director Richard A. Sampson Yes No
Management Elect Director Stephen R. Springer Yes No
Management Elect Director Richard Ware, II Yes No
Management Ratify Ernst & Young LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
-1-
Columbia Pipeline Partners LP
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Ticker CPPL
Primary CUSIP 198281107
Meeting Date 16-Feb-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Approve Merger Agreement Yes No
Public Service Enterprise Group Incorporated
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Ticker PEG
Primary CUSIP 744573106
Meeting Date 18-Apr-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Willie A. Deese Yes No
Management Elect Director Albert R. Gamper, Jr. Yes No
Management Elect Director William V. Hickey Yes No
Management Elect Director Ralph Izzo Yes No
Management Elect Director Shirley Ann Jackson Yes No
Management Elect Director David Lilley Yes No
Management Elect Director Thomas A. Renyi Yes No
Management Elect Director Hak Cheol (H.C.) Shin Yes No
Management Elect Director Richard J. Swift Yes No
Management Elect Director Susan Tomasky Yes No
Management Elect Director Alfred W. Zollar Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Magellan Midstream Partners, L.P.
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Ticker MMP
Primary CUSIP 559080106
Meeting Date 20-Apr-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Lori A. Gobillot Yes No
Management Elect Director Edward J. Guay Yes No
Management Elect Director Michael N. Mears Yes No
Management Elect Director James R. Montague Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Ratify Ernst & Young LLP as Auditors Yes No
American Electric Power Company, Inc.
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Ticker AEP
Primary CUSIP 025537101
Meeting Date 25-Apr-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Nicholas K. Akins Yes No
Management Elect Director David J. Anderson Yes No
Management Elect Director J. Barnie Beasley, Jr. Yes No
Management Elect Director Ralph D. Crosby, Jr. Yes No
Management Elect Director Linda A. Goodspeed Yes No
Management Elect Director Thomas E. Hoaglin Yes No
Management Elect Director Sandra Beach Lin Yes No
Management Elect Director Richard C. Notebaert Yes No
Management Elect Director Lionel L. Nowell, III Yes No
Management Elect Director Stephen S. Rasmussen Yes No
Management Elect Director Oliver G. Richard, III Yes No
Management Elect Director Sara Martinez Tucker Yes No
Management Amend Executive Incentive Bonus Plan Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Exelon Corporation
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Ticker EXC
Primary CUSIP 30161N101
Meeting Date 25-Apr-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Anthony K. Anderson Yes No
Management Elect Director Ann C. Berzin Yes No
Management Elect Director Christopher M. Crane Yes No
Management Elect Director Yves C. de Balmann Yes No
Management Elect Director Nicholas DeBenedictis Yes No
Management Elect Director Nancy L. Gioia Yes No
Management Elect Director Linda P. Jojo Yes No
Management Elect Director Paul L. Joskow Yes No
Management Elect Director Robert J. Lawless Yes No
Management Elect Director Richard W. Mies Yes No
Management Elect Director John W. Rogers, Jr. Yes No
Management Elect Director Mayo A. Shattuck, III Yes No
Management Elect Director Stephen D. Steinour Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Edison International
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Ticker EIX
Primary CUSIP 281020107
Meeting Date 27-Apr-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Vanessa C.L. Chang Yes No
Management Elect Director Louis Hernandez, Jr. Yes No
Management Elect Director James T. Morris Yes No
Management Elect Director Pedro J. Pizarro Yes No
Management Elect Director Linda G. Stuntz Yes No
Management Elect Director William P. Sullivan Yes No
Management Elect Director Ellen O. Tauscher Yes No
Management Elect Director Peter J. Taylor Yes No
Management Elect Director Brett White Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Share Holder Amend Proxy Access Right Yes Yes
-2-
SCANA Corporation
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Ticker SCG
Primary CUSIP 80589M102
Meeting Date 27-Apr-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director John F.A.V. Cecil Yes No
Management Elect Director D. Maybank Hagood Yes No
Management Elect Director Alfredo Trujillo Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Management Declassify the Board of Directors Yes No
Chesapeake Utilities Corporation
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Ticker CPK
Primary CUSIP 165303108
Meeting Date 03-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Thomas J. Bresnan Yes No
Management Elect Director Ronald G. Forsythe, Jr. Yes No
Management Elect Director Dianna F. Morgan Yes No
Management Elect Director John R. Schimkaitis Yes No
Management Increase Authorized Common Stock Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Ratify Baker Tilly Virchow Krause, LLP as Yes No
Auditors
Eversource Energy
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Ticker ES
Primary CUSIP 30040W108
Meeting Date 03-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director John S. Clarkeson Yes No
Management Elect Director Cotton M. Cleveland Yes No
Management Elect Director Sanford Cloud, Jr. Yes No
Management Elect Director James S. DiStasio Yes No
Management Elect Director Francis A. Doyle Yes No
Management Elect Director Charles K. Gifford Yes No
Management Elect Director James J. Judge Yes No
Management Elect Director Paul A. La Camera Yes No
Management Elect Director Kenneth R. Leibler Yes No
Management Elect Director William C. Van Faasen Yes No
Management Elect Director Frederica M. Williams Yes No
Management Elect Director Dennis R. Wraase Yes No
Management Provide Proxy Access Right Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Amend Omnibus Stock Plan Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Duke Energy Corporation
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Ticker DUK
Primary CUSIP 26441C204
Meeting Date 04-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Michael J. Angelakis Yes No
Management Elect Director Michael G. Browning Yes No
Management Elect Director Theodore F. Craver, Jr. Yes No
Management Elect Director Daniel R. DiMicco Yes No
Management Elect Director John H. Forsgren Yes No
Management Elect Director Lynn J. Good Yes No
Management Elect Director John T. Herron Yes No
Management Elect Director James B. Hyler, Jr. Yes No
Management Elect Director William E. Kennard Yes No
Management Elect Director E. Marie McKee Yes No
Management Elect Director Charles W. Moorman, IV Yes No
Management Elect Director Carlos A. Saladrigas Yes No
Management Elect Director Thomas E. Skains Yes No
Management Elect Director William E. Webster, Jr. Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Eliminate Supermajority Vote Requirement Yes No
Share Holder Report on Lobbying Expenses Yes Yes
Share Holder Assess Portfolio Impacts of Policies to Meet Yes Yes
2 Degree Scenario
Share Holder Report on the Public Health Risk of Dukes Yes Yes
Energy's Coal Use
Fortis Inc.
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Ticker FTS
Primary CUSIP 349553107
Meeting Date 04-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Tracey C. Ball Yes No
Management Elect Director Pierre J. Blouin Yes No
Management Elect Director Lawrence T. Borgard Yes No
Management Elect Director Maura J. Clark Yes No
Management Elect Director Margarita K. Dilley Yes No
Management Elect Director Ida J. Goodreau Yes No
Management Elect Director Douglas J. Haughey Yes No
Management Elect Director R. Harry McWatters Yes No
Management Elect Director Ronald D. Munkley Yes No
Management Elect Director Barry V. Perry Yes No
Management Elect Director Joseph L. Welch Yes No
Management Elect Director Jo Mark Zurel Yes No
Management Approve Deloitte LLP as Auditors and Yes No
Authorize Board to Fix Their Remuneration
Management Advisory Vote on Executive Compensation Yes No
Approach
Management Amend Employee Stock Purchase Plan Yes No
-3-
Hydro One Limited
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Ticker H
Primary CUSIP 448811208
Meeting Date 04-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Ian Bourne Yes No
Management Elect Director Charles Brindamour Yes No
Management Elect Director Marcello (Marc) Caira Yes No
Management Elect Director Christie Clark Yes No
Management Elect Director George Cooke Yes No
Management Elect Director David F. Denison Yes No
Management Elect Director Margaret (Marianne) Harris Yes No
Management Elect Director James Hinds Yes No
Management Elect Director Kathryn Jackson Yes No
Management Elect Director Roberta Jamieson Yes No
Management Elect Director Frances Lankin Yes No
Management Elect Director Philip S. Orsino Yes No
Management Elect Director Jane Peverett Yes No
Management Elect Director Gale Rubenstein Yes No
Management Elect Director Mayo Schmidt Yes No
Management Approve KPMG LLP as Auditors and Authorize Yes No
Board to Fix Their Remuneration
Management Advisory Vote on Executive Compensation Yes No
Approach
WEC Energy Group, Inc.
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Ticker WEC
Primary CUSIP 92939U106
Meeting Date 04-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director John F. Bergstrom Yes No
Management Elect Director Barbara L. Bowles Yes No
Management Elect Director William J. Brodsky Yes No
Management Elect Director Albert J. Budney, Jr. Yes No
Management Elect Director Patricia W. Chadwick Yes No
Management Elect Director Curt S. Culver Yes No
Management Elect Director Thomas J. Fischer Yes No
Management Elect Director Paul W. Jones Yes No
Management Elect Director Gale E. Klappa Yes No
Management Elect Director Henry W. Knueppel Yes No
Management Elect Director Allen L. Leverett Yes No
Management Elect Director Ulice Payne, Jr. Yes No
Management Elect Director Mary Ellen Stanek Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
CMS Energy Corporation
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Ticker CMS
Primary CUSIP 125896100
Meeting Date 05-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Jon E. Barfield Yes No
Management Elect Director Deborah H. Butler Yes No
Management Elect Director Kurt L. Darrow Yes No
Management Elect Director Stephen E. Ewing Yes No
Management Elect Director William D. Harvey Yes No
Management Elect Director Philip R. Lochner, Jr. Yes No
Management Elect Director Patricia K. Poppe Yes No
Management Elect Director John G. Russell Yes No
Management Elect Director Myrna M. Soto Yes No
Management Elect Director John G. Sznewajs Yes No
Management Elect Director Laura H. Wright Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Share Holder Report on Political Contributions Yes Yes
Management Ratify PricewaterhouseCoopers LLP as Auditors Yes No
TransCanada Corporation
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Ticker TRP
Primary CUSIP 89353D107
Meeting Date 05-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Kevin E. Benson Yes No
Management Elect Director Derek H. Burney Yes No
Management Elect Director Stephan Cretier Yes No
Management Elect Director Russell K. Girling Yes No
Management Elect Director S. Barry Jackson Yes No
Management Elect Director John E. Lowe Yes No
Management Elect Director Paula Rosput Reynolds Yes No
Management Elect Director Mary Pat Salomone Yes No
Management Elect Director Indira V. Samarasekera Yes No
Management Elect Director D. Michael G. Stewart Yes No
Management Elect Director Siim A. Vanaselja Yes No
Management Elect Director Richard E. Waugh Yes No
Management Approve KPMG LLP as Auditors and Authorize Yes No
Board to Fix Their Remuneration
Management Advisory Vote on Executive Compensation Yes No
Approach
Management Elect Director Kevin E. Benson Yes No
Management Elect Director Derek H. Burney Yes No
Management Elect Director Stephan Cretier Yes No
Management Elect Director Russell K. Girling Yes No
Management Elect Director S. Barry Jackson Yes No
Management Elect Director John E. Lowe Yes No
Management Elect Director Paula Rosput Reynolds Yes No
Management Elect Director Mary Pat Salomone Yes No
Management Elect Director Indira V. Samarasekera Yes No
Management Elect Director D. Michael G. Stewart Yes No
Management Elect Director Siim A. Vanaselja Yes No
Management Elect Director Richard E. Waugh Yes No
Management Approve KPMG LLP as Auditors and Authorize Yes No
Board to Fix Their Remuneration
Management Advisory Vote on Executive Compensation Yes No
Approach
Inter Pipeline Ltd.
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Ticker IPL
Primary CUSIP 45833V109
Meeting Date 08-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Fix Number of Directors at Nine Yes No
Management Elect Director Richard Shaw Yes No
Management Elect Director David Fesyk Yes No
Management Elect Director Lorne Brown Yes No
Management Elect Director Duane Keinick Yes No
Management Elect Director Alison Taylor Love Yes No
Management Elect Director William Robertson Yes No
Management Elect Director Brant Sangster Yes No
Management Elect Director Margaret McKenzie Yes No
Management Elect Director Christian Bayle Yes No
Management Approve Ernst & Young LLP as Auditors and Yes No
Authorize Board to Fix Their Remuneration
Management Approve Shareholder Rights Plan Yes No
Management Advisory Vote on Executive Compensation Yes No
Approach
-4-
Keyera Corp.
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Ticker KEY
Primary CUSIP 493271100
Meeting Date 09-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Ratify Deloitte LLP as Auditors Yes No
Management Elect Director James V. Bertram Yes No
Management Elect Director Douglas J. Haughey Yes No
Management Elect Director Nancy M. Laird Yes No
Management Elect Director Gianna Manes Yes No
Management Elect Director Donald J. Nelson Yes No
Management Elect Director Michael J. Norris Yes No
Management Elect Director Thomas O'Connor Yes No
Management Elect Director David G. Smith Yes No
Management Elect Director William R. Stedman Yes No
Management Elect Director Janet Woodruff Yes No
Management Approve Shareholder Rights Plan Yes No
Management Advisory Vote on Executive Compensation Yes No
Approach
NiSource Inc.
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Ticker NI
Primary CUSIP 65473P105
Meeting Date 09-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Richard A. Abdoo Yes No
Management Elect Director Peter A. Altabef Yes No
Management Elect Director Aristides S. Candris Yes No
Management Elect Director Wayne S. DeVeydt Yes No
Management Elect Director Joseph Hamrock Yes No
Management Elect Director Deborah A. Henretta Yes No
Management Elect Director Michael E. Jesanis Yes No
Management Elect Director Kevin T. Kabat Yes No
Management Elect Director Richard L. Thompson Yes No
Management Elect Director Carolyn Y. Woo Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Kinder Morgan, Inc.
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Ticker KMI
Primary CUSIP 49456B101
Meeting Date 10-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Richard D. Kinder Yes No
Management Elect Director Steven J. Kean Yes No
Management Elect Director Kimberly A. Dang Yes No
Management Elect Director Ted A. Gardner Yes No
Management Elect Director Anthony W. Hall, Jr. Yes No
Management Elect Director Gary L. Hultquist Yes No
Management Elect Director Ronald L. Kuehn, Jr. Yes No
Management Elect Director Deborah A. Macdonald Yes No
Management Elect Director Michael C. Morgan Yes No
Management Elect Director Arthur C. Reichstetter Yes No
Management Elect Director Fayez Sarofim Yes No
Management Elect Director C. Park Shaper Yes No
Management Elect Director William A. Smith Yes No
Management Elect Director Joel V. Staff Yes No
Management Elect Director Robert F. Vagt Yes No
Management Elect Director Perry M. Waughtal Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors Yes No
Share Holder Adopt Proxy Access Right Yes Yes
Share Holder Report on Methane Emissions Yes Yes
Share Holder Report on Annual Sustainability Yes Yes
Share Holder Report on Capital Expenditure Strategy with Yes Yes
Respect to Climate Change Policy
Enbridge Inc.
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Ticker ENB
Primary CUSIP 29250N105
Meeting Date 11-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Pamela L. Carter Yes No
Management Elect Director Clarence P. Cazalot, Jr. Yes No
Management Elect Director Marcel R. Coutu Yes No
Management Elect Director Gregory L. Ebel Yes No
Management Elect Director J. Herb England Yes No
Management Elect Director Charles W. Fischer Yes No
Management Elect Director V. Maureen Kempston Darkes Yes No
Management Elect Director Michael McShane Yes No
Management Elect Director Al Monaco Yes No
Management Elect Director Michael E.J. Phelps Yes No
Management Elect Director Rebecca B. Roberts Yes No
Management Elect Director Dan C. Tutcher Yes No
Management Elect Director Catherine L. Williams Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors Yes No
Management Approve Shareholder Rights Plan Yes No
Management Advisory Vote on Executive Compensation Yes No
Approach
Share Holder Prepare a Report Detailing Due Diligence Yes Yes
Process to Identify And Address Social And
Environmental Risks When Reviewing Potential
Acquisitions
Management Elect Director Pamela L. Carter Yes No
Management Elect Director Clarence P. Cazalot, Jr. Yes No
Management Elect Director Marcel R. Coutu Yes No
Management Elect Director Gregory L. Ebel Yes No
Management Elect Director J. Herb England Yes No
Management Elect Director Charles W. Fischer Yes No
Management Elect Director V. Maureen Kempston Darkes Yes No
Management Elect Director Michael McShane Yes No
Management Elect Director Al Monaco Yes No
Management Elect Director Michael E.J. Phelps Yes No
Management Elect Director Rebecca B. Roberts Yes No
Management Elect Director Dan C. Tutcher Yes No
Management Elect Director Catherine L. Williams Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors Yes No
Management Approve Shareholder Rights Plan Yes No
Management Advisory Vote on Executive Compensation Yes No
Approach
Share Holder Prepare a Report Detailing Due Diligence Yes Yes
Process to Identify And Address Social And
Environmental Risks When Reviewing Potential
Acquisitions
Enbridge Income Fund Holdings Inc.
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Ticker ENF
Primary CUSIP 29251R105
Meeting Date 11-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Approve PricewaterhouseCoopers LLP as Yes No
Auditors and Authorize Board to Fix Their
Remuneration
Management Elect Director J. Richard Bird Yes No
Management Elect Director Laura A. Cillis Yes No
Management Elect Director Brian E. Frank Yes No
Management Elect Director M. George Lewis Yes No
Management Elect Director E.F.H. (Harry) Roberts Yes No
Management Elect Director Bruce G. Waterman Yes No
Management Elect Director John K. Whelen Yes No
Management Approve Shareholder Rights Plan Yes No
-5-
American Water Works Company, Inc.
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Ticker AWK
Primary CUSIP 030420103
Meeting Date 12-May-17
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VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Julie A. Dobson Yes No
Management Elect Director Paul J. Evanson Yes No
Management Elect Director Martha Clark Goss Yes No
Management Elect Director Veronica M. Hagen Yes No
Management Elect Director Julia L. Johnson Yes No
Management Elect Director Karl F. Kurz Yes No
Management Elect Director George MacKenzie Yes No
Management Elect Director Susan N. Story Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Approve Omnibus Stock Plan Yes No
Management Approve Nonqualified Employee Stock Purchase Yes No
Plan
Management Ratify PricewaterhouseCoopers LLP as Auditors Yes No
Emera Incorporated
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Ticker EMA
Primary CUSIP 290876101
Meeting Date 12-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Sylvia D. Chrominska Yes No
Management Elect Director Henry E. Demone Yes No
Management Elect Director Allan L. Edgeworth Yes No
Management Elect Director James D. Eisenhauer Yes No
Management Elect Director Christopher G. Huskilson Yes No
Management Elect Director B. Lynn Loewen Yes No
Management Elect Director John T. McLennan Yes No
Management Elect Director Donald A. Pether Yes No
Management Elect Director John B. Ramil Yes No
Management Elect Director Andrea S. Rosen Yes No
Management Elect Director Richard P. Sergel Yes No
Management Elect Director M. Jacqueline Sheppard Yes No
Management Ratify Ernst & Young LLP as Auditors Yes No
Management Authorize Board to Fix Remuneration of Yes No
Auditors
Management Advisory Vote on Executive Compensation Yes No
Approach
Sempra Energy
--------------------------------------------------------------------------------
Ticker SRE
Primary CUSIP 816851109
Meeting Date 12-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Alan L. Boeckmann Yes No
Management Elect Director Kathleen L. Brown Yes No
Management Elect Director Andres Conesa Yes No
Management Elect Director Maria Contreras-Sweet Yes No
Management Elect Director Pablo A. Ferrero Yes No
Management Elect Director William D. Jones Yes No
Management Elect Director Bethany J. Mayer Yes No
Management Elect Director William G. Ouchi Yes No
Management Elect Director Debra L. Reed Yes No
Management Elect Director William C. Rusnack Yes No
Management Elect Director Lynn Schenk Yes No
Management Elect Director Jack T. Taylor Yes No
Management Elect Director James C. Yardley Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
CorEnergy Infrastructure Trust, Inc.
--------------------------------------------------------------------------------
Ticker CORR
Primary CUSIP 21870U502
Meeting Date 17-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Conrad S. Ciccotello Yes Yes
Management Elect Director Barrett Brady Yes Yes
Management Elect Director Todd E. Banks Yes No
Management Ratify Ernst & Young LLP as Auditors Yes No
InfraREIT, Inc.
--------------------------------------------------------------------------------
Ticker HIFR
Primary CUSIP 45685L100
Meeting Date 17-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Hunter L. Hunt Yes Yes
Management Elect Director Harvey Rosenblum Yes Yes
Management Elect Director Ellen C. Wolf Yes Yes
Management Ratify Ernst & Young LLP as Auditors Yes No
Xcel Energy Inc.
--------------------------------------------------------------------------------
Ticker XEL
Primary CUSIP 98389B100
Meeting Date 17-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Gail K. Boudreaux Yes No
Management Elect Director Richard K. Davis Yes No
Management Elect Director Ben Fowke Yes No
Management Elect Director Richard T. O'Brien Yes No
Management Elect Director Christopher J. Policinski Yes No
Management Elect Director James T. Prokopanko Yes No
Management Elect Director A. Patricia Sampson Yes No
Management Elect Director James J. Sheppard Yes No
Management Elect Director David A. Westerlund Yes No
Management Elect Director Kim Williams Yes No
Management Elect Director Timothy V. Wolf Yes No
Management Elect Director Daniel Yohannes Yes No
Management Advisory Vote on Say on Pay Frequency Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Share Holder Require Independent Board Chairman Yes No
-6-
IdaCorp, Inc.
--------------------------------------------------------------------------------
Ticker IDA
Primary CUSIP 451107106
Meeting Date 18-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Darrel T. Anderson Yes No
Management Elect Director Thomas E. Carlile Yes No
Management Elect Director Richard J. Dahl Yes No
Management Elect Director Annette G. Elg Yes No
Management Elect Director Ronald W. Jibson Yes No
Management Elect Director Judith A. Johansen Yes No
Management Elect Director Dennis L. Johnson Yes No
Management Elect Director J. LaMont Keen Yes No
Management Elect Director Christine King Yes No
Management Elect Director Richard J. Navarro Yes No
Management Elect Director Robert A. Tinstman Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
NextEra Energy, Inc.
--------------------------------------------------------------------------------
Ticker NEE
Primary CUSIP 65339F101
Meeting Date 18-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Sherry S. Barrat Yes No
Management Elect Director James L. Camaren Yes No
Management Elect Director Kenneth B. Dunn Yes No
Management Elect Director Naren K. Gursahaney Yes No
Management Elect Director Kirk S. Hachigian Yes No
Management Elect Director Toni Jennings Yes No
Management Elect Director Amy B. Lane Yes No
Management Elect Director James L. Robo Yes No
Management Elect Director Rudy E. Schupp Yes No
Management Elect Director John L. Skolds Yes No
Management Elect Director William H. Swanson Yes No
Management Elect Director Hansel E. Tookes, II Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Approve Non-Employee Director Restricted Yes No
Stock Plan
Share Holder Report on Political Contributions Yes Yes
The Williams Companies, Inc.
--------------------------------------------------------------------------------
Ticker WMB
Primary CUSIP 969457100
Meeting Date 18-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Alan S. Armstrong Yes No
Management Elect Director Stephen W. Bergstrom Yes No
Management Elect Director Stephen I. Chazen Yes No
Management Elect Director Charles I. Cogut Yes No
Management Elect Director Kathleen B. Cooper Yes No
Management Elect Director Michael A. Creel Yes No
Management Elect Director Peter A. Ragauss Yes No
Management Elect Director Scott D. Sheffield Yes No
Management Elect Director Murray D. Smith Yes No
Management Elect Director William H. Spence Yes No
Management Elect Director Janice D. Stoney Yes No
Management Ratify Ernst & Young LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
National Grid plc
--------------------------------------------------------------------------------
Ticker NG.
Primary CUSIP G6375K151
Meeting Date 19-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Approve Share Consolidation Yes No
Management Authorise Issue of Equity with Pre-emptive Yes No
Rights
Management Authorise Issue of Equity without Pre-emptive Yes No
Rights
Management Authorise Issue of Equity without Pre-emptive Yes No
Rights in Connection with an Acquisition or
Other Capital Investment
Management Authorise Market Purchase of New Ordinary Yes No
Shares
Targa Resources Corp.
--------------------------------------------------------------------------------
Ticker TRGP
Primary CUSIP 87612G101
Meeting Date 22-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Charles R. Crisp Yes No
Management Elect Director Laura C. Fulton Yes No
Management Elect Director Michael A. Heim Yes No
Management Elect Director James W. Whalen Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Amend Omnibus Stock Plan Yes Yes
Management Approve Issuance of Shares of Common Stock Yes No
Upon Conversion of Series A Preferred Stock
and Exercise of Outstanding Warrants
Alliant Energy Corporation
--------------------------------------------------------------------------------
Ticker LNT
Primary CUSIP 018802108
Meeting Date 23-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Patrick E. Allen Yes No
Management Elect Director Patricia L. Kampling Yes No
Management Elect Director Singleton B. McAllister Yes No
Management Elect Director Susan D. Whiting Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Share Holder Report on Lobbying Payments and Political Yes Yes
Contributions
-7-
ONEOK, Inc.
--------------------------------------------------------------------------------
Ticker OKE
Primary CUSIP 682680103
Meeting Date 24-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Brian L. Derksen Yes No
Management Elect Director Julie H. Edwards Yes No
Management Elect Director John W. Gibson Yes No
Management Elect Director Randall J. Larson Yes No
Management Elect Director Steven J. Malcolm Yes No
Management Elect Director Kevin S. McCarthy - WITHDRAWN Yes No
RESOLUTION
Management Elect Director Jim W. Mogg Yes No
Management Elect Director Pattye L. Moore Yes No
Management Elect Director Gary D. Parker Yes No
Management Elect Director Eduardo A. Rodriguez Yes No
Management Elect Director Terry K. Spencer Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
The Southern Company
--------------------------------------------------------------------------------
Ticker SO
Primary CUSIP 842587107
Meeting Date 24-May-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Juanita Powell Baranco Yes No
Management Elect Director Jon A. Boscia Yes No
Management Elect Director Henry A. 'Hal' Clark, III Yes No
Management Elect Director Thomas A. Fanning Yes No
Management Elect Director David J. Grain Yes No
Management Elect Director Veronica M. Hagen Yes No
Management Elect Director Warren A. Hood, Jr. Yes No
Management Elect Director Linda P. Hudson Yes No
Management Elect Director Donald M. James Yes No
Management Elect Director John D. Johns Yes No
Management Elect Director Dale E. Klein Yes No
Management Elect Director William G. Smith, Jr. Yes No
Management Elect Director Steven R. Specker Yes No
Management Elect Director Larry D. Thompson Yes No
Management Elect Director E. Jenner Wood, III Yes No
Management Reduce Supermajority Vote Requirement Yes No
Management Advisory Vote to Ratify Named Executive Yes Yes
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Share Holder Report on Strategy for Aligning with 2 Degree Yes Yes
Scenario
Buckeye Partners, L.P.
--------------------------------------------------------------------------------
Ticker BPL
Primary CUSIP 118230101
Meeting Date 06-Jun-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Elect Director Barbara J. Duganier Yes No
Management Elect Director Joseph A. LaSala, Jr. Yes No
Management Elect Director Larry C. Payne Yes No
Management Elect Director Martin A. White Yes No
Management Amend Omnibus Stock Plan Yes No
Management Ratify Deloitte & Touche LLP as Auditors Yes No
Management Advisory Vote to Ratify Named Executive Yes No
Officers' Compensation
Management Advisory Vote on Say on Pay Frequency Yes No
ONEOK Partners, L.P.
--------------------------------------------------------------------------------
Ticker OKS
Primary CUSIP 68268N103
Meeting Date 30-Jun-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Approve Merger Agreement Yes No
Management Adjourn Meeting Yes No
ONEOK, Inc.
--------------------------------------------------------------------------------
Ticker OKE
Primary CUSIP 682680103
Meeting Date 30-Jun-17
--------------------------------------------------------------------------------
VOTE
AGAINST
PROPONENT PROPOSAL TEXT VOTED MANAGEMENT
Management Issue Shares in Connection with the Merger Yes No
Management Increase Authorized Common Stock Yes No
Management Adjourn Meeting Yes No
-8-
--------------------------------------------------------------------------------
FIRST TRUST TACTICAL HIGH YIELD ETF
--------------------------------------------------------------------------------
The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
--------------------------------------------------------------------------------
FIRST TRUST SENIOR LOAN FUND
--------------------------------------------------------------------------------
The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
--------------------------------------------------------------------------------
FIRST TRUST ENHANCED SHORT MATURITY ETF
--------------------------------------------------------------------------------
The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
--------------------------------------------------------------------------------
FIRST TRUST STRATEGIC INCOME ETF
--------------------------------------------------------------------------------
MEETING DATE COMPANY TICKER SECURITY ID
07/25/16 National Grid plc NG 161295329
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1 Accept Financial Statements and Statutory Reports For For Mgmt
2 Approve Final Dividend For For Mgmt
3 Re-elect Sir Peter Gershon as Director For For Mgmt
4 Re-elect John Pettigrew as Director For For Mgmt
5 Re-elect Andrew Bonfield as Director For For Mgmt
6 Re-elect Dean Seavers as Director For For Mgmt
7 Elect Nicola Shaw as Director For For Mgmt
8 Re-elect Nora Mead Brownell as Director For For Mgmt
9 Re-elect Jonathan Dawson as Director For For Mgmt
10 Re-elect Therese Esperdy as Director For For Mgmt
11 Re-elect Paul Golby as Director For For Mgmt
12 Re-elect Ruth Kelly as Director For For Mgmt
13 Re-elect Mark Williamson as Director For For Mgmt
14 Reappoint PricewaterhouseCoopers LLP as Auditors For For Mgmt
15 Authorise Board to Fix Remuneration of Auditors For For Mgmt
16 Approve Remuneration Report For For Mgmt
17 Authorise EU Political Donations and Expenditure For For Mgmt
18 Authorise Issue of Equity with Pre-emptive Rights For For Mgmt
Authorise Issue of Equity without Pre-emptive
19 Rights For For Mgmt
20 Authorise Market Purchase of Ordinary Shares For For Mgmt
Authorise the Company to Call General Meeting with
21 14 Working Days' Notice For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
07/29/16 PetMed Express, Inc. PETS 716382106
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Menderes Akdag For For Mgmt
1.2 Elect Director Frank J. Formica For For Mgmt
1.3 Elect Director Gian M. Fulgoni For For Mgmt
1.4 Elect Director Ronald J. Korn For For Mgmt
1.5 Elect Director Robert C. Schweitzer For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For Against Mgmt
3 Ratify RSM US LLP as Auditors For For Mgmt
4 Approve Restricted Stock Plan For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
08/04/16 NVE Corporation NVEC 629445206
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Terrence W. Glarner For For Mgmt
1.2 Elect Director Daniel A. Baker For For Mgmt
1.3 Elect Director Patricia M. Hollister For For Mgmt
1.4 Elect Director Richard W. Kramp For For Mgmt
1.5 Elect Director Gary R. Maharaj For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Ratify Grant Thornton LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
08/15/16 American Software, Inc. AMSWA 029683109
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director W. Dennis Hogue For For Mgmt
1.2 Elect Director James B. Miller For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Amend Stock Option Plan For For Mgmt
4 Ratify KPMG LLP as Auditors For For Mgmt
5 Other Business For Against Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
10/12/16 Paychex, Inc. PAYX 704326107
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director B. Thomas Golisano For For Mgmt
1b Elect Director Joseph G. Doody For For Mgmt
1c Elect Director David J.S. Flaschen For For Mgmt
1d Elect Director Phillip Horsley For For Mgmt
1e Elect Director Grant M. Inman For For Mgmt
1f Elect Director Pamela A. Joseph For For Mgmt
1g Elect Director Martin Mucci For For Mgmt
1h Elect Director Joseph M. Tucci For For Mgmt
1i Elect Director Joseph M. Velli For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
10/18/16 Linear Technology Corporation LLTC 535678106
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1 Approve Merger Agreement For For Mgmt
2 Advisory Vote on Golden Parachutes For Against Mgmt
3a Elect Director Robert H. Swanson, Jr. For For Mgmt
3b Elect Director Lothar Maier For For Mgmt
3c Elect Director Arthur C. Agnos For For Mgmt
3d Elect Director John J. Gordon For For Mgmt
3e Elect Director David S. Lee For For Mgmt
3f Elect Director Richard M. Moley For For Mgmt
3g Elect Director Thomas S. Volpe For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
4 Compensation For Against Mgmt
5 Ratify Ernst & Young LLP as Auditors For For Mgmt
6 Adjourn Meeting For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
11/17/16 Cracker Barrel Old Country Store, Inc. CBRL 22410J106
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director James W. Bradford For For Mgmt
1.2 Elect Director Thomas H. Barr For For Mgmt
1.3 Elect Director Sandra B. Cochran For For Mgmt
1.4 Elect Director Glenn A. Davenport For For Mgmt
1.5 Elect Director Richard J. Dobkin For For Mgmt
1.6 Elect Director Norman E. Johnson For For Mgmt
1.7 Elect Director William W. McCarten For For Mgmt
1.8 Elect Director Coleman H. Peterson For For Mgmt
1.9 Elect Director Andrea M. Weiss For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
11/23/16 The Williams Companies, Inc. WMB 969457100
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Alan S. Armstrong For For Mgmt
1.2 Elect Director Stephen W. Bergstrom For For Mgmt
1.3 Elect Director Stephen I. Chazen For For Mgmt
1.4 Elect Director Kathleen B. Cooper For For Mgmt
1.5 Elect Director Peter A. Ragauss For For Mgmt
1.6 Elect Director Scott D. Sheffield For For Mgmt
1.7 Elect Director Murray D. Smith For For Mgmt
1.8 Elect Director William H. Spence For For Mgmt
1.9 Elect Director Janice D. Stoney For For Mgmt
2 Ratify Ernst & Young LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
-9-
MEETING DATE COMPANY TICKER SECURITY ID
12/12/16 Cisco Systems, Inc. CSCO 17275R102
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Carol A. Bartz For For Mgmt
1b Elect Director M. Michele Burns For For Mgmt
1c Elect Director Michael D. Capellas For For Mgmt
1d Elect Director John T. Chambers For For Mgmt
1e Elect Director Amy L. Chang For For Mgmt
1f Elect Director John L. Hennessy For For Mgmt
1g Elect Director Kristina M. Johnson For For Mgmt
1h Elect Director Roderick C. McGeary For For Mgmt
1i Elect Director Charles H. Robbins For For Mgmt
1j Elect Director Arun Sarin For For Mgmt
1k Elect Director Steven M. West For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
4 Report on Lobbying Payments and Policy Against For ShrHlder
Report on Arab and non-Arab Employees using EEO-1
5 Categories Against Against ShrHlder
Establish Board Committee on Operations in Israeli
6 Settlements Against Against ShrHlder
MEETING DATE COMPANY TICKER SECURITY ID
12/15/16 Enbridge Inc. ENB 29250N105
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1 Issue Shares in Connection with the Merger For For Mgmt
2 Amend By-Law No.1 For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
01/24/17 UGI Corporation UGI 902681105
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director M. Shawn Bort For For Mgmt
1.2 Elect Director Richard W. Gochnauer For For Mgmt
1.3 Elect Director Frank S. Hermance For For Mgmt
1.4 Elect Director Anne Pol For For Mgmt
1.5 Elect Director Marvin O. Schlanger For For Mgmt
1.6 Elect Director James B. Stallings, Jr. For For Mgmt
1.7 Elect Director Roger B. Vincent For For Mgmt
1.8 Elect Director John L. Walsh For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify Ernst & Young LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
01/25/17 New Jersey Resources Corporation NJR 646025106
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Jane M. Kenny For For Mgmt
1.2 Elect Director Sharon C. Taylor For For Mgmt
1.3 Elect Director David A. Trice For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Approve Omnibus Stock Plan For For Mgmt
5 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
02/08/17 Atmos Energy Corporation ATO 049560105
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Robert W. Best For For Mgmt
1b Elect Director Kim R. Cocklin For For Mgmt
1c Elect Director Kelly H. Compton For For Mgmt
1d Elect Director Richard W. Douglas For For Mgmt
1e Elect Director Ruben E. Esquivel For For Mgmt
1f Elect Director Rafael G. Garza For For Mgmt
1g Elect Director Richard K. Gordon For For Mgmt
1h Elect Director Robert C. Grable For For Mgmt
1i Elect Director Michael E. Haefner For For Mgmt
1j Elect Director Nancy K. Quinn For For Mgmt
1k Elect Director Richard A. Sampson For For Mgmt
1l Elect Director Stephen R. Springer For For Mgmt
1m Elect Director Richard Ware, II For For Mgmt
2 Ratify Ernst & Young LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
02/16/17 Columbia Pipeline Partners LP CPPL 198281107
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1 Approve Merger Agreement For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
04/05/17 Carnival Corporation CCL 143658300
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
Re-elect Micky Arison as a Director of Carnival
1 Corporation and as a Director of Carnival plc. For For Mgmt
Re-elect Jonathon Band as a Director of Carnival
2 Corporation and as a Director of Carnival plc. For For Mgmt
Elect Helen Deeble as a Director of Carnival
3 Corporation and as a Director of Carnival plc. For For Mgmt
Re-elect Arnold W. Donald as a Director of
Carnival Corporation and as a Director of Carnival
4 plc. For For Mgmt
Re-elect Richard J. Glasier as a Director of
Carnival Corporation and as a Director of Carnival
5 plc. For For Mgmt
Re-elect Debra Kelly-Ennis as a Director of
Carnival Corporation and as a Director of Carnival
6 plc. For For Mgmt
Re-elect John Parker as a Director of Carnival
7 Corporation and as a Director of Carnival plc. For For Mgmt
Re-elect Stuart Subotnick as a Director of
Carnival Corporation and as a Director of Carnival
8 plc. For For Mgmt
Re-elect Laura Weil as a Director of Carnival
9 Corporation and as a Director of Carnival plc. For For Mgmt
Re-elect Randall J. Weisenburger as a Director of
Carnival Corporation and as a Director of Carnival
10 plc. For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
11 Compensation For For Mgmt
12 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
Approve Directors' Remuneration Report (in
accordance with legal requirements applicable to
13 UK companies) For For Mgmt
Approve Remuneration Policy set out in Section B
of Part II of the Carnival plc Directors'
Remuneration Report (in accordance with legal
14 requirements applicable to UK companies). For For Mgmt
Reappoint the UK firm of PricewaterhouseCoopers
LLP as independent auditors for Carnival plc and
ratify the U.S. firm of PricewaterhouseCoopers LLP
as the independent registered certified public
15 accounting firm for Carnival Corporation. For For Mgmt
Authorize the Audit Committee of Carnival plc to
agree the remuneration of the independent auditors
16 of Carnival plc. For For Mgmt
Receive the UK Accounts and Reports of the
Directors and Auditors of Carnival plc for the
year ended November 30, 2016 (in accordance with
17 legal requirements applicable to UK companies). For For Mgmt
18 Authorize Issue of Equity with Pre-emptive Rights For For Mgmt
Authorize Issue of Equity without Pre-emptive
19 Rights For For Mgmt
20 Authorize Share Repurchase Program For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
04/18/17 Public Service Enterprise Group Incorporated PEG 744573106
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Willie A. Deese For For Mgmt
1.2 Elect Director Albert R. Gamper, Jr. For For Mgmt
1.3 Elect Director William V. Hickey For For Mgmt
1.4 Elect Director Ralph Izzo For For Mgmt
1.5 Elect Director Shirley Ann Jackson For For Mgmt
1.6 Elect Director David Lilley For For Mgmt
1.7 Elect Director Thomas A. Renyi For For Mgmt
1.8 Elect Director Hak Cheol (H.C.) Shin For For Mgmt
1.9 Elect Director Richard J. Swift For For Mgmt
1.10 Elect Director Susan Tomasky For For Mgmt
1.11 Elect Director Alfred W. Zollar For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
-10-
MEETING DATE COMPANY TICKER SECURITY ID
04/19/17 WesBanco, Inc. WSBC 950810101
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Abigail M. Feinknopf For For Mgmt
1.2 Elect Director Jay T. McCamic For For Mgmt
1.3 Elect Director F. Eric Nelson, Jr. For For Mgmt
1.4 Elect Director Todd F. Clossin For For Mgmt
1.5 Elect Director Denise Knouse-Snyder For For Mgmt
1.6 Elect Director Gary L. Libs For For Mgmt
1.7 Elect Director Kerry M. Stemler For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify Ernst & Young, LLP as Auditors For For Mgmt
5 Amend Omnibus Stock Plan For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
04/20/17 Magellan Midstream Partners, L.P. MMP 559080106
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Lori A. Gobillot For For Mgmt
1.2 Elect Director Edward J. Guay For For Mgmt
1.3 Elect Director Michael N. Mears For For Mgmt
1.4 Elect Director James R. Montague For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify Ernst & Young LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
04/25/17 American Electric Power Company, Inc. AEP 025537101
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Nicholas K. Akins For For Mgmt
1.2 Elect Director David J. Anderson For For Mgmt
1.3 Elect Director J. Barnie Beasley, Jr. For For Mgmt
1.4 Elect Director Ralph D. Crosby, Jr. For For Mgmt
1.5 Elect Director Linda A. Goodspeed For For Mgmt
1.6 Elect Director Thomas E. Hoaglin For For Mgmt
1.7 Elect Director Sandra Beach Lin For For Mgmt
1.8 Elect Director Richard C. Notebaert For For Mgmt
1.9 Elect Director Lionel L. Nowell, III For For Mgmt
1.10 Elect Director Stephen S. Rasmussen For For Mgmt
1.11 Elect Director Oliver G. Richard, III For For Mgmt
1.12 Elect Director Sara Martinez Tucker For For Mgmt
2 Amend Executive Incentive Bonus Plan For For Mgmt
3 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
4 Compensation For For Mgmt
5 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
04/25/17 Grupo Aeroportuario del Pacifico S.A.B. de C.V. GAP B P4959P100
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
Approve Reports in Compliance with Article 28,
1 Section IV of Mexican Securities Market Law For For Mgmt
Approve Discharge of Board of Directors and
2 Officers For For Mgmt
Approve Individual and Consolidated Financial
Statements and Statutory Reports, and Approval of
3 External Auditors' Report on Financial Statements For For Mgmt
Approve Allocation of Income in the Amount of MXN
4 3.16 Billion For For Mgmt
Approve Two Dividends of MXN 2.86 per Share to be
Distributed on or Before Aug. 31, 2017 and Dec.
5 31, 2017 Respectively For For Mgmt
Cancel Pending Amount of MXN 950 Million of Share
Repurchase Approved at AGM on April 26, 2016; Set
6 Share Repurchase Maximum Amount of MXN 995 Million For For Mgmt
Information on Election or Ratification of Four
Directors and Their Alternates of Series BB
7 Shareholders Mgmt
Elect or Ratify Directors of Series B Shareholders
8 that Hold 10 Percent of Share Capital Mgmt
9 Elect or Ratify Directors of Series B Shareholders For For Mgmt
10 Elect or Ratify Board Chairman For For Mgmt
Approve Remuneration of Directors for Years 2016
11 and 2017 For For Mgmt
Elect or Ratify Director of Series B Shareholders
and Member of Nomination and Remuneration
12 Committee For For Mgmt
Elect or Ratify Chairman of Audit and Corporate
13 Practices Committee For For Mgmt
Present Report Regarding Individual or Accumulated
14 Operations Greater Than USD 3 Million Mgmt
Authorize Board to Ratify and Execute Approved
15 Resolutions For For Mgmt
Approve Reduction in Fixed Capital by MXN 1.75
Billion; Amend Article 6 of Company's Bylaws
1 Accordingly For For Mgmt
Authorize Board to Ratify and Execute Approved
2 Resolutions For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
04/25/17 VF Corporation VFC 918204108
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Richard T. Carucci For For Mgmt
1.2 Elect Director Juliana L. Chugg For For Mgmt
1.3 Elect Director Benno Dorer For For Mgmt
1.4 Elect Director Mark S. Hoplamazian For For Mgmt
1.5 Elect Director Robert J. Hurst For For Mgmt
1.6 Elect Director Laura W. Lang For For Mgmt
1.7 Elect Director W. Alan McCollough For For Mgmt
1.8 Elect Director W. Rodney McMullen For For Mgmt
1.9 Elect Director Clarence Otis, Jr. For For Mgmt
1.10 Elect Director Steven E. Rendle For For Mgmt
1.11 Elect Director Carol L. Roberts For For Mgmt
1.12 Elect Director Matthew J. Shattock For For Mgmt
1.13 Elect Director Eric C. Wiseman For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
04/26/17 Public Storage PSA 74460D109
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Ronald L. Havner, Jr. For For Mgmt
1.2 Elect Director Tamara Hughes Gustavson For For Mgmt
1.3 Elect Director Uri P. Harkham For For Mgmt
1.4 Elect Director Leslie S. Heisz For For Mgmt
1.5 Elect Director B. Wayne Hughes, Jr. For For Mgmt
1.6 Elect Director Avedick B. Poladian For Against Mgmt
1.7 Elect Director Gary E. Pruitt For Against Mgmt
1.8 Elect Director Ronald P. Spogli For Against Mgmt
1.9 Elect Director Daniel C. Staton For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify Ernst & Young LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
04/27/17 Northwestern Corporation NWE 668074305
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Stephen P. Adik For For Mgmt
1.2 Elect Director Anthony T. Clark For For Mgmt
1.3 Elect Director E. Linn Draper, Jr. For For Mgmt
1.4 Elect Director Dana J. Dykhouse For For Mgmt
1.5 Elect Director Jan R. Horsfall For For Mgmt
1.6 Elect Director Britt E. Ide For For Mgmt
1.7 Elect Director Julia L. Johnson For For Mgmt
1.8 Elect Director Linda G. Sullivan For For Mgmt
1.9 Elect Director Robert C. Rowe For For Mgmt
2 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
5 Other Business For Against Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
04/27/17 SCANA Corporation SCG 80589M102
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director John F.A.V. Cecil For For Mgmt
1.2 Elect Director D. Maybank Hagood For For Mgmt
1.3 Elect Director Alfredo Trujillo For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
5 Declassify the Board of Directors For For Mgmt
-11-
MEETING DATE COMPANY TICKER SECURITY ID
05/02/17 Capella Education Company CPLA 139594105
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Rita D. Brogley For For Mgmt
1.2 Elect Director H. James Dallas For For Mgmt
1.3 Elect Director Matthew W. Ferguson For For Mgmt
1.4 Elect Director J. Kevin Gilligan For For Mgmt
1.5 Elect Director Michael A. Linton For For Mgmt
1.6 Elect Director Michael L. Lomax For For Mgmt
1.7 Elect Director Jody G. Miller For For Mgmt
1.8 Elect Director David W. Smith For For Mgmt
1.9 Elect Director Jeffrey W. Taylor For For Mgmt
1.10 Elect Director Darrell R. Tukua For For Mgmt
2 Ratify Ernst & Young LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
Adopt Majority Voting for Uncontested Election of
5 Directors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/03/17 Chesapeake Utilities Corporation CPK 165303108
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Thomas J. Bresnan For For Mgmt
1.2 Elect Director Ronald G. Forsythe, Jr. For For Mgmt
1.3 Elect Director Dianna F. Morgan For For Mgmt
1.4 Elect Director John R. Schimkaitis For For Mgmt
2 Increase Authorized Common Stock For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
5 Ratify Baker Tilly Virchow Krause, LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/03/17 Eversource Energy ES 30040W108
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director John S. Clarkeson For For Mgmt
1.2 Elect Director Cotton M. Cleveland For For Mgmt
1.3 Elect Director Sanford Cloud, Jr. For For Mgmt
1.4 Elect Director James S. DiStasio For For Mgmt
1.5 Elect Director Francis A. Doyle For For Mgmt
1.6 Elect Director Charles K. Gifford For For Mgmt
1.7 Elect Director James J. Judge For For Mgmt
1.8 Elect Director Paul A. La Camera For For Mgmt
1.9 Elect Director Kenneth R. Leibler For For Mgmt
1.10 Elect Director William C. Van Faasen For For Mgmt
1.11 Elect Director Frederica M. Williams For For Mgmt
1.12 Elect Director Dennis R. Wraase For For Mgmt
2 Provide Proxy Access Right For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
5 Amend Omnibus Stock Plan For For Mgmt
6 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/04/17 Duke Energy Corporation DUK 26441C204
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Michael J. Angelakis For For Mgmt
1.2 Elect Director Michael G. Browning For For Mgmt
1.3 Elect Director Theodore F. Craver, Jr. For For Mgmt
1.4 Elect Director Daniel R. DiMicco For For Mgmt
1.5 Elect Director John H. Forsgren For For Mgmt
1.6 Elect Director Lynn J. Good For For Mgmt
1.7 Elect Director John T. Herron For For Mgmt
1.8 Elect Director James B. Hyler, Jr. For For Mgmt
1.9 Elect Director William E. Kennard For For Mgmt
1.10 Elect Director E. Marie McKee For For Mgmt
1.11 Elect Director Charles W. Moorman, IV For For Mgmt
1.12 Elect Director Carlos A. Saladrigas For For Mgmt
1.13 Elect Director Thomas E. Skains For For Mgmt
1.14 Elect Director William E. Webster, Jr. For For Mgmt
2 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
5 Eliminate Supermajority Vote Requirement For For Mgmt
6 Report on Lobbying Expenses Against For ShrHlder
Assess Portfolio Impacts of Policies to Meet 2
7 Degree Scenario Against For ShrHlder
Report on the Public Health Risk of Dukes Energy's
8 Coal Use Against For ShrHlder
MEETING DATE COMPANY TICKER SECURITY ID
05/04/17 Hydro One Limited H 448811208
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Ian Bourne For For Mgmt
1.2 Elect Director Charles Brindamour For For Mgmt
1.3 Elect Director Marcello (Marc) Caira For For Mgmt
1.4 Elect Director Christie Clark For For Mgmt
1.5 Elect Director George Cooke For For Mgmt
1.6 Elect Director David F. Denison For For Mgmt
1.7 Elect Director Margaret (Marianne) Harris For For Mgmt
1.8 Elect Director James Hinds For For Mgmt
1.9 Elect Director Kathryn Jackson For For Mgmt
1.10 Elect Director Roberta Jamieson For For Mgmt
1.11 Elect Director Frances Lankin For For Mgmt
1.12 Elect Director Philip S. Orsino For For Mgmt
1.13 Elect Director Jane Peverett For For Mgmt
1.14 Elect Director Gale Rubenstein For For Mgmt
1.15 Elect Director Mayo Schmidt For For Mgmt
Approve KPMG LLP as Auditors and Authorize Board
2 to Fix Their Remuneration For For Mgmt
3 Advisory Vote on Executive Compensation Approach For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/04/17 Southwest Gas Holdings, Inc. SWX 844895102
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Robert L. Boughner For For Mgmt
1.2 Elect Director Jose A. Cardenas For For Mgmt
1.3 Elect Director Thomas E. Chestnut For For Mgmt
1.4 Elect Director Stephen C. Comer For For Mgmt
1.5 Elect Director LeRoy C. Hanneman, Jr. For For Mgmt
1.6 Elect Director John P. Hester For For Mgmt
1.7 Elect Director Anne L. Mariucci For For Mgmt
1.8 Elect Director Michael J. Melarkey For For Mgmt
1.9 Elect Director A. Randall Thoman For For Mgmt
1.10 Elect Director Thomas A. Thomas For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
5 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/04/17 WEC Energy Group, Inc. WEC 92939U106
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director John F. Bergstrom For For Mgmt
1.2 Elect Director Barbara L. Bowles For For Mgmt
1.3 Elect Director William J. Brodsky For For Mgmt
1.4 Elect Director Albert J. Budney, Jr. For For Mgmt
1.5 Elect Director Patricia W. Chadwick For For Mgmt
1.6 Elect Director Curt S. Culver For For Mgmt
1.7 Elect Director Thomas J. Fischer For For Mgmt
1.8 Elect Director Paul W. Jones For For Mgmt
1.9 Elect Director Gale E. Klappa For For Mgmt
1.10 Elect Director Henry W. Knueppel For For Mgmt
1.11 Elect Director Allen L. Leverett For For Mgmt
1.12 Elect Director Ulice Payne, Jr. For For Mgmt
1.13 Elect Director Mary Ellen Stanek For For Mgmt
2 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
-12-
MEETING DATE COMPANY TICKER SECURITY ID
05/05/17 Hawaiian Electric Industries, Inc. HE 419870100
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Peggy Y. Fowler For For Mgmt
1.2 Elect Director Keith P. Russell For For Mgmt
1.3 Elect Director Barry K. Taniguchi For For Mgmt
1.4 Elect Director Richard J. Dahl For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/05/17 Owens & Minor, Inc. OMI 690732102
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Stuart M. Essig For For Mgmt
1.2 Elect Director John W. Gerdelman For For Mgmt
1.3 Elect Director Barbara B. Hill For For Mgmt
1.4 Elect Director Lemuel E. Lewis For For Mgmt
1.5 Elect Director Martha H. Marsh For For Mgmt
1.6 Elect Director Eddie N. Moore, Jr. For For Mgmt
1.7 Elect Director P. Cody Phipps For For Mgmt
1.8 Elect Director James E. Rogers For For Mgmt
1.9 Elect Director David S. Simmons For For Mgmt
1.10 Elect Director Robert C. Sledd For For Mgmt
1.11 Elect Director Anne Marie Whittemore For For Mgmt
2 Approve Nonqualified Employee Stock Purchase Plan For For Mgmt
3 Ratify KPMG LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
4 Compensation For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/05/17 TransCanada Corporation TRP 89353D107
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Kevin E. Benson For For Mgmt
1.2 Elect Director Derek H. Burney For For Mgmt
1.3 Elect Director Stephan Cretier For For Mgmt
1.4 Elect Director Russell K. Girling For For Mgmt
1.5 Elect Director S. Barry Jackson For For Mgmt
1.6 Elect Director John E. Lowe For For Mgmt
1.7 Elect Director Paula Rosput Reynolds For For Mgmt
1.8 Elect Director Mary Pat Salomone For For Mgmt
1.9 Elect Director Indira V. Samarasekera For For Mgmt
1.10 Elect Director D. Michael G. Stewart For For Mgmt
1.11 Elect Director Siim A. Vanaselja For For Mgmt
1.12 Elect Director Richard E. Waugh For For Mgmt
Approve KPMG LLP as Auditors and Authorize Board
2 to Fix Their Remuneration For For Mgmt
3 Advisory Vote on Executive Compensation Approach For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/08/17 Inter Pipeline Ltd. IPL 45833V109
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1 Fix Number of Directors at Nine For For Mgmt
2.1 Elect Director Richard Shaw For For Mgmt
2.2 Elect Director David Fesyk For For Mgmt
2.3 Elect Director Lorne Brown For For Mgmt
2.4 Elect Director Duane Keinick For For Mgmt
2.5 Elect Director Alison Taylor Love For For Mgmt
2.6 Elect Director William Robertson For For Mgmt
2.7 Elect Director Brant Sangster For For Mgmt
2.8 Elect Director Margaret McKenzie For For Mgmt
2.9 Elect Director Christian Bayle For For Mgmt
Approve Ernst & Young LLP as Auditors and
3 Authorize Board to Fix Their Remuneration For For Mgmt
4 Approve Shareholder Rights Plan For For Mgmt
5 Advisory Vote on Executive Compensation Approach For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/08/17 National Health Investors, Inc. NHI 63633D104
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director W. Andrew Adams For For Mgmt
1b Elect Director Robert A. McCabe, Jr. For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify BDO USA, LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/09/17 3M Company MMM 88579Y101
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Sondra L. Barbour For For Mgmt
1b Elect Director Thomas "Tony" K. Brown For For Mgmt
1c Elect Director Vance D. Coffman For For Mgmt
1d Elect Director David B. Dillon For For Mgmt
1e Elect Director Michael L. Eskew For For Mgmt
1f Elect Director Herbert L. Henkel For For Mgmt
1g Elect Director Muhtar Kent For For Mgmt
1h Elect Director Edward M. Liddy For For Mgmt
1i Elect Director Gregory R. Page For For Mgmt
1j Elect Director Inge G. Thulin For For Mgmt
1k Elect Director Patricia A. Woertz For For Mgmt
2 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
5 Adopt Holy Land Principles Against Against ShrHlder
MEETING DATE COMPANY TICKER SECURITY ID
05/09/17 ALLETE, Inc. ALE 018522300
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Kathryn W. Dindo For For Mgmt
1b Elect Director Sidney W. Emery, Jr. For For Mgmt
1c Elect Director George G. Goldfarb For For Mgmt
1d Elect Director James S. Haines, Jr. For For Mgmt
1e Elect Director Alan R. Hodnik For For Mgmt
1f Elect Director James J. Hoolihan For For Mgmt
1g Elect Director Heidi E. Jimmerson For For Mgmt
1h Elect Director Madeleine W. Ludlow For For Mgmt
1i Elect Director Douglas C. Neve For For Mgmt
1j Elect Director Leonard C. Rodman For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/10/17 Kinder Morgan, Inc. KMI 49456B101
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Richard D. Kinder For For Mgmt
1.2 Elect Director Steven J. Kean For For Mgmt
1.3 Elect Director Kimberly A. Dang For For Mgmt
1.4 Elect Director Ted A. Gardner For For Mgmt
1.5 Elect Director Anthony W. Hall, Jr. For For Mgmt
1.6 Elect Director Gary L. Hultquist For For Mgmt
1.7 Elect Director Ronald L. Kuehn, Jr. For For Mgmt
1.8 Elect Director Deborah A. Macdonald For For Mgmt
1.9 Elect Director Michael C. Morgan For For Mgmt
1.10 Elect Director Arthur C. Reichstetter For For Mgmt
1.11 Elect Director Fayez Sarofim For For Mgmt
1.12 Elect Director C. Park Shaper For For Mgmt
1.13 Elect Director William A. Smith For For Mgmt
1.14 Elect Director Joel V. Staff For For Mgmt
1.15 Elect Director Robert F. Vagt For For Mgmt
1.16 Elect Director Perry M. Waughtal For For Mgmt
2 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
3 Adopt Proxy Access Right Against For ShrHlder
4 Report on Methane Emissions Against For ShrHlder
5 Report on Annual Sustainability Against For ShrHlder
Report on Capital Expenditure Strategy with
6 Respect to Climate Change Policy Against For ShrHlder
-13-
MEETING DATE COMPANY TICKER SECURITY ID
05/10/17 Sanofi SAN F5548N101
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1 Approve Financial Statements and Statutory Reports For For Mgmt
Approve Consolidated Financial Statements and
2 Statutory Reports For For Mgmt
Approve Allocation of Income and Dividends of EUR
3 2.96 per Share For For Mgmt
Approve Auditors' Special Report on New
4 Related-Party Transactions For For Mgmt
Approve Remuneration of Directors in the Aggregate
5 Amount of EUR 1.750 Million For For Mgmt
6 Reelect Fabienne Lecorvaisier as Director For For Mgmt
7 Elect Bernard Charles as Director For For Mgmt
8 Elect Melanie Lee as Director For For Mgmt
Approve Remuneration Policy for Chairman of the
9 Board For For Mgmt
10 Approve Remuneration Policy for CEO For For Mgmt
Non-Binding Vote on Compensation of Serge
11 Weinberg, Chairman of the Board For For Mgmt
Non-Binding Vote on Compensation of Olivier
12 Brandicourt, CEO For For Mgmt
Renew Appointment of PricewaterhouseCoopers Audit
13 as Auditor For For Mgmt
Authorize Repurchase of Up to 10 Percent of Issued
14 Share Capital For For Mgmt
Authorize Issuance of Equity or Equity-Linked
Securities with Preemptive Rights up to Aggregate
1 Nominal Amount of EUR 1.289 Billion For For Mgmt
Authorize Issuance of Equity or Equity-Linked
Securities without Preemptive Rights up to
2 Aggregate Nominal Amount of EUR 240 Million For For Mgmt
Approve Issuance of Equity or Equity-Linked
Securities for Private Placements, up to Aggregate
3 Nominal Amount of EUR 240 Million For For Mgmt
Approve Issuance of Debt Securities Giving Access
to New Shares of Subsidiaries and/or Existing
Shares and/or Debt Securities, up to Aggregate
4 Amount of EUR 7 Billion For For Mgmt
Authorize Board to Increase Capital in the Event
of Additional Demand Related to Delegation
5 Submitted to Shareholder Vote Above For For Mgmt
Authorize Capital Increase of up to 10 Percent of
6 Issued Capital for Contributions in Kind For For Mgmt
Authorize Capitalization of Reserves of Up to EUR
500 Million for Bonus Issue or Increase in Par
7 Value For For Mgmt
Authorize Capital Issuances for Use in Employee
8 Stock Purchase Plans For For Mgmt
Authorize Decrease in Share Capital via
9 Cancellation of Repurchased Shares For For Mgmt
10 Amend Article 11 of Bylaws Re: Board of Directors For For Mgmt
Authorize Filing of Required Documents/Other
11 Formalities For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/11/17 Avista Corporation AVA 05379B107
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Erik J. Anderson For For Mgmt
1b Elect Director Kristianne Blake For For Mgmt
1c Elect Director Donald C. Burke For For Mgmt
1d Elect Director Rebecca A. Klein For For Mgmt
1e Elect Director Scott H. Maw For For Mgmt
1f Elect Director Scott L. Morris For For Mgmt
1g Elect Director Marc F. Racicot For For Mgmt
1h Elect Director Heidi B. Stanley For For Mgmt
1i Elect Director R. John Taylor For For Mgmt
1j Elect Director Janet D. Widmann For For Mgmt
Reduce Supermajority Vote Requirement for
2 Specified Matters For For Mgmt
3 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
4 Compensation For For Mgmt
5 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/11/17 Enbridge Inc. ENB 29250N105
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Pamela L. Carter For For Mgmt
1.2 Elect Director Clarence P. Cazalot, Jr. For For Mgmt
1.3 Elect Director Marcel R. Coutu For For Mgmt
1.4 Elect Director Gregory L. Ebel For For Mgmt
1.5 Elect Director J. Herb England For For Mgmt
1.6 Elect Director Charles W. Fischer For For Mgmt
1.7 Elect Director V. Maureen Kempston Darkes For For Mgmt
1.8 Elect Director Michael McShane For For Mgmt
1.9 Elect Director Al Monaco For For Mgmt
1.10 Elect Director Michael E.J. Phelps For For Mgmt
1.11 Elect Director Rebecca B. Roberts For For Mgmt
1.12 Elect Director Dan C. Tutcher For For Mgmt
1.13 Elect Director Catherine L. Williams For For Mgmt
2 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
3 Approve Shareholder Rights Plan For For Mgmt
4 Advisory Vote on Executive Compensation Approach For For Mgmt
Prepare a Report Detailing Due Diligence Process
to Identify And Address Social And Environmental
5 Risks When Reviewing Potential Acquisitions Against For ShrHlder
MEETING DATE COMPANY TICKER SECURITY ID
05/11/17 Enbridge Income Fund Holdings Inc. ENF 29251R105
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
Approve PricewaterhouseCoopers LLP as Auditors and
1 Authorize Board to Fix Their Remuneration For For Mgmt
2.1 Elect Director J. Richard Bird For For Mgmt
2.2 Elect Director Laura A. Cillis For For Mgmt
2.3 Elect Director Brian E. Frank For For Mgmt
2.4 Elect Director M. George Lewis For For Mgmt
2.5 Elect Director E.F.H. (Harry) Roberts For For Mgmt
2.6 Elect Director Bruce G. Waterman For For Mgmt
2.7 Elect Director John K. Whelen For For Mgmt
3 Approve Shareholder Rights Plan For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/12/17 Emera Incorporated EMA 290876101
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Sylvia D. Chrominska For For Mgmt
1.2 Elect Director Henry E. Demone For For Mgmt
1.3 Elect Director Allan L. Edgeworth For For Mgmt
1.4 Elect Director James D. Eisenhauer For For Mgmt
1.5 Elect Director Christopher G. Huskilson For For Mgmt
1.6 Elect Director B. Lynn Loewen For For Mgmt
1.7 Elect Director John T. McLennan For For Mgmt
1.8 Elect Director Donald A. Pether For For Mgmt
1.9 Elect Director John B. Ramil For For Mgmt
1.10 Elect Director Andrea S. Rosen For For Mgmt
1.11 Elect Director Richard P. Sergel For For Mgmt
1.12 Elect Director M. Jacqueline Sheppard For For Mgmt
2 Ratify Ernst & Young LLP as Auditors For For Mgmt
3 Authorize Board to Fix Remuneration of Auditors For For Mgmt
4 Advisory Vote on Executive Compensation Approach For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/12/17 Sempra Energy SRE 816851109
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Alan L. Boeckmann For For Mgmt
1.2 Elect Director Kathleen L. Brown For For Mgmt
1.3 Elect Director Andres Conesa For For Mgmt
1.4 Elect Director Maria Contreras-Sweet For For Mgmt
1.5 Elect Director Pablo A. Ferrero For For Mgmt
1.6 Elect Director William D. Jones For For Mgmt
1.7 Elect Director Bethany J. Mayer For For Mgmt
1.8 Elect Director William G. Ouchi For For Mgmt
1.9 Elect Director Debra L. Reed For For Mgmt
1.10 Elect Director William C. Rusnack For For Mgmt
1.11 Elect Director Lynn Schenk For For Mgmt
1.12 Elect Director Jack T. Taylor For For Mgmt
1.13 Elect Director James C. Yardley For For Mgmt
2 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
-14-
MEETING DATE COMPANY TICKER SECURITY ID
05/15/17 Consolidated Edison, Inc. ED 209115104
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Vincent A. Calarco For For Mgmt
1b Elect Director George Campbell, Jr. For For Mgmt
1c Elect Director Michael J. Del Giudice For For Mgmt
1d Elect Director Ellen V. Futter For For Mgmt
1e Elect Director John F. Killian For For Mgmt
1f Elect Director John McAvoy For For Mgmt
1g Elect Director Armando J. Olivera For For Mgmt
1h Elect Director Michael W. Ranger For For Mgmt
1i Elect Director Linda S. Sanford For For Mgmt
1j Elect Director L. Frederick Sutherland For For Mgmt
2 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/16/17 Arthur J. Gallagher & Co. AJG 363576109
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Sherry S. Barrat For For Mgmt
1b Elect Director William L. Bax For For Mgmt
1c Elect Director D. John Coldman For For Mgmt
1d Elect Director Frank E. English, Jr. For For Mgmt
1e Elect Director J. Patrick Gallagher, Jr. For For Mgmt
1f Elect Director Elbert O. Hand For For Mgmt
1g Elect Director David S. Johnson For For Mgmt
1h Elect Director Kay W. McCurdy For For Mgmt
1i Elect Director Ralph J. Nicoletti For For Mgmt
1j Elect Director Norman L. Rosenthal For For Mgmt
2 Approve Omnibus Stock Plan For For Mgmt
3 Ratify Ernst & Young LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
4 Compensation For For Mgmt
5 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/16/17 Principal Financial Group, Inc. PFG 74251V102
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Betsy J. Bernard For For Mgmt
1.2 Elect Director Jocelyn Carter-Miller For For Mgmt
1.3 Elect Director Dennis H. Ferro For For Mgmt
1.4 Elect Director Scott M. Mills For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify Ernst & Young, LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/17/17 Xcel Energy Inc. XEL 98389B100
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Gail K. Boudreaux For For Mgmt
1b Elect Director Richard K. Davis For For Mgmt
1c Elect Director Ben Fowke For For Mgmt
1d Elect Director Richard T. O'Brien For For Mgmt
1e Elect Director Christopher J. Policinski For For Mgmt
1f Elect Director James T. Prokopanko For For Mgmt
1g Elect Director A. Patricia Sampson For For Mgmt
1h Elect Director James J. Sheppard For For Mgmt
1i Elect Director David A. Westerlund For For Mgmt
1j Elect Director Kim Williams For For Mgmt
1k Elect Director Timothy V. Wolf For For Mgmt
1l Elect Director Daniel Yohannes For For Mgmt
2 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
5 Require Independent Board Chairman Against Against ShrHlder
MEETING DATE COMPANY TICKER SECURITY ID
05/18/17 AmTrust Financial Services, Inc. AFSI 032359309
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Donald T. DeCarlo For For Mgmt
1.2 Elect Director Susan C. Fisch For For Mgmt
1.3 Elect Director Abraham Gulkowitz For For Mgmt
1.4 Elect Director George Karfunkel For For Mgmt
1.5 Elect Director Leah Karfunkel For For Mgmt
1.6 Elect Director Raul Rivera For For Mgmt
1.7 Elect Director Barry D. Zyskind For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency Three Years One Year Mgmt
Require a Majority Vote for the Election of
4 Directors For For ShrHlder
MEETING DATE COMPANY TICKER SECURITY ID
05/18/17 Life Storage, Inc. LSI 53223X107
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Robert J. Attea For For Mgmt
1.2 Elect Director Kenneth F. Myszka For For Mgmt
1.3 Elect Director Charles E. Lannon For For Mgmt
1.4 Elect Director Stephen R. Rusmisel For For Mgmt
1.5 Elect Director Arthur L. Havener, Jr. For For Mgmt
1.6 Elect Director Mark G. Barberio For For Mgmt
2 Amend Bylaws For For Mgmt
3 Ratify Ernst & Young LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
4 Compensation For For Mgmt
5 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/18/17 NextEra Energy, Inc. NEE 65339F101
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Sherry S. Barrat For For Mgmt
1b Elect Director James L. Camaren For For Mgmt
1c Elect Director Kenneth B. Dunn For For Mgmt
1d Elect Director Naren K. Gursahaney For For Mgmt
1e Elect Director Kirk S. Hachigian For For Mgmt
1f Elect Director Toni Jennings For For Mgmt
1g Elect Director Amy B. Lane For For Mgmt
1h Elect Director James L. Robo For For Mgmt
1i Elect Director Rudy E. Schupp For For Mgmt
1j Elect Director John L. Skolds For For Mgmt
1k Elect Director William H. Swanson For For Mgmt
1l Elect Director Hansel E. Tookes, II For For Mgmt
2 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
Approve Non-Employee Director Restricted Stock
5 Plan For For Mgmt
6 Report on Political Contributions Against For ShrHlder
MEETING DATE COMPANY TICKER SECURITY ID
05/19/17 National Grid plc NG 161295329
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1 Approve Share Consolidation For For Mgmt
2 Authorise Issue of Equity with Pre-emptive Rights For For Mgmt
Authorise Issue of Equity without Pre-emptive
3 Rights For For Mgmt
Authorise Issue of Equity without Pre-emptive
Rights in Connection with an Acquisition or Other
4 Capital Investment For For Mgmt
5 Authorise Market Purchase of New Ordinary Shares For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/19/17 The Cato Corporation CATO 149205106
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Bryan F. Kennedy, III For For Mgmt
1.2 Elect Director Thomas B. Henson For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
-15-
MEETING DATE COMPANY TICKER SECURITY ID
05/22/17 Targa Resources Corp. TRGP 87612G101
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Charles R. Crisp For For Mgmt
1.2 Elect Director Laura C. Fulton For For Mgmt
1.3 Elect Director Michael A. Heim For For Mgmt
1.4 Elect Director James W. Whalen For For Mgmt
2 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
5 Amend Omnibus Stock Plan For Against Mgmt
Approve Issuance of Shares of Common Stock Upon
Conversion of Series A Preferred Stock and
6 Exercise of Outstanding Warrants For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/23/17 Alliant Energy Corporation LNT 018802108
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Patrick E. Allen For For Mgmt
1.2 Elect Director Patricia L. Kampling For For Mgmt
1.3 Elect Director Singleton B. McAllister For For Mgmt
1.4 Elect Director Susan D. Whiting For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
Report on Lobbying Payments and Political
5 Contributions Against For ShrHlder
MEETING DATE COMPANY TICKER SECURITY ID
05/23/17 NBT Bancorp Inc. NBTB 628778102
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Martin A. Dietrich For For Mgmt
1b Elect Director Patricia T. Civil For For Mgmt
1c Elect Director Timothy E. Delaney For For Mgmt
1d Elect Director James H. Douglas For For Mgmt
1e Elect Director Andrew S. Kowalczyk, III For For Mgmt
1f Elect Director John C. Mitchell For For Mgmt
1g Elect Director V. Daniel Robinson, II For For Mgmt
1h Elect Director Matthew J. Salanger For For Mgmt
1i Elect Director Joseph A. Santangelo For For Mgmt
1j Elect Director Lowell A. Seifter For For Mgmt
1k Elect Director Robert A. Wadsworth For For Mgmt
1l Elect Director John H. Watt, Jr. For For Mgmt
1m Elect Director Jack H. Webb For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify KPMG LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
05/25/17 Flowers Foods, Inc. FLO 343498101
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director George E. Deese For For Mgmt
1b Elect Director Rhonda Gass For For Mgmt
1c Elect Director Benjamin H. Griswold, IV For For Mgmt
1d Elect Director Richard Lan For For Mgmt
1e Elect Director Margaret G. Lewis For For Mgmt
1f Elect Director Amos R. McMullian For For Mgmt
1g Elect Director J.V. Shields, Jr. For For Mgmt
1h Elect Director Allen L. Shiver For For Mgmt
1i Elect Director David V. Singer For For Mgmt
1j Elect Director James T. Spear For For Mgmt
1k Elect Director Melvin T. Stith For For Mgmt
1l Elect Director C. Martin Wood, III For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For For Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
5 Require Independent Board Chairman Against For ShrHlder
MEETING DATE COMPANY TICKER SECURITY ID
05/25/17 Northwest Natural Gas Company NWN 667655104
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director David H. Anderson For For Mgmt
1.2 Elect Director Martha L. 'Stormy' Byorum For For Mgmt
1.3 Elect Director John D. Carter For For Mgmt
1.4 Elect Director C. Scott Gibson For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
5 Ratify PricewaterhouseCoopers LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
06/01/17 LTC Properties, Inc. LTC 502175102
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Boyd W. Hendrickson For For Mgmt
1.2 Elect Director James J. Pieczynski For For Mgmt
1.3 Elect Director Devra G. Shapiro For For Mgmt
1.4 Elect Director Wendy L. Simpson For For Mgmt
1.5 Elect Director Timothy J. Triche For For Mgmt
2 Ratify Ernst & Young LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
06/05/17 Watsco, Inc. WSO 942622200
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1 Elect Director Jason Epstein For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
2 Compensation For Against Mgmt
3 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
4 Ratify KPMG LLP as Auditors For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
06/06/17 Buckeye Partners, L.P. BPL 118230101
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Barbara J. Duganier For For Mgmt
1.2 Elect Director Joseph A. LaSala, Jr. For For Mgmt
1.3 Elect Director Larry C. Payne For For Mgmt
1.4 Elect Director Martin A. White For For Mgmt
2 Amend Omnibus Stock Plan For For Mgmt
3 Ratify Deloitte & Touche LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
4 Compensation For For Mgmt
5 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
06/07/17 McGrath Rentcorp MGRC 580589109
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director William J. Dawson For For Mgmt
1.2 Elect Director Elizabeth A. Fetter For For Mgmt
1.3 Elect Director Joseph F. Hanna For For Mgmt
1.4 Elect Director Robert C. Hood For For Mgmt
1.5 Elect Director M. Richard Smith For For Mgmt
1.6 Elect Director Dennis P. Stradford For For Mgmt
1.7 Elect Director Ronald H. Zech For For Mgmt
2 Ratify Grant Thornton LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
06/14/17 Target Corporation TGT 87612E106
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1a Elect Director Roxanne S. Austin For For Mgmt
1b Elect Director Douglas M. Baker, Jr. For For Mgmt
1c Elect Director Brian C. Cornell For For Mgmt
1d Elect Director Calvin Darden For For Mgmt
1e Elect Director Henrique De Castro For For Mgmt
1f Elect Director Robert L. Edwards For For Mgmt
1g Elect Director Melanie L. Healey For For Mgmt
1h Elect Director Donald R. Knauss For For Mgmt
1i Elect Director Monica C. Lozano For For Mgmt
1j Elect Director Mary E. Minnick For For Mgmt
1k Elect Director Derica W. Rice For For Mgmt
1l Elect Director Kenneth L. Salazar For For Mgmt
2 Ratify Ernst & Young LLP as Auditors For For Mgmt
Advisory Vote to Ratify Named Executive Officers'
3 Compensation For For Mgmt
4 Advisory Vote on Say on Pay Frequency One Year One Year Mgmt
5 Approve Executive Incentive Bonus Plan For For Mgmt
-16-
MEETING DATE COMPANY TICKER SECURITY ID
06/19/17 iShares Trust IYT 464287192
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Jane D. Carlin For For Mgmt
1.2 Elect Director Richard L. Fagnani For For Mgmt
1.3 Elect Director Drew E. Lawton For For Mgmt
1.4 Elect Director Madhav V. Rajan For For Mgmt
1.5 Elect Director Mark Wiedman For For Mgmt
MEETING DATE COMPANY TICKER SECURITY ID
06/30/17 ONEOK Partners, L.P. OKS 68268N103
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1 Approve Merger Agreement For For Mgmt
2 Adjourn Meeting For For Mgmt
-17-
--------------------------------------------------------------------------------
FIRST TRUST LOW DURATION OPPORTUNITIES ETF
--------------------------------------------------------------------------------
MEETING DATE COMPANY TICKER SECURITY ID
06/19/17 iShares Trust IYT 464287192
ITEM NUMBER AGENDA ITEM MGMT REC VOTE CAST PROPONENT
1.1 Elect Director Jane D. Carlin For For Mgmt
1.2 Elect Director Richard L. Fagnani For For Mgmt
1.3 Elect Director Drew E. Lawton For For Mgmt
1.4 Elect Director Madhav V. Rajan For For Mgmt
1.5 Elect Director Mark Wiedman For For Mgmt
--------------------------------------------------------------------------------
FIRST TRUST SSI STRATEGIC CONVERTIBLE SECURITIES ETF
--------------------------------------------------------------------------------
The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
--------------------------------------------------------------------------------
FIRST TRUST HEITMAN GLOBAL PRIME REAL ESTATE ETF
--------------------------------------------------------------------------------
The British Land Company plc
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Ticker BLND
Meeting Date 19-Jul-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Accept Financial Statements and Statutory Reports For For Yes
Management Approve Remuneration Report For For Yes
Management Approve Remuneration Policy For For Yes
Management Re-elect Aubrey Adams as Director For For Yes
Management Re-elect Lucinda Bell as Director For For Yes
Management Re-elect Simon Borrows as Director For For Yes
Management Re-elect John Gildersleeve as Director For For Yes
Management Re-elect Lynn Gladden as Director For For Yes
Management Re-elect Chris Grigg as Director For For Yes
Management Re-elect William Jackson as Director For For Yes
Management Re-elect Charles Maudsley as Director For For Yes
Management Re-elect Tim Roberts as Director For For Yes
Management Re-elect Tim Score as Director For For Yes
Management Re-elect Lord Turnbull as Director For For Yes
Management Re-elect Laura Wade-Gery as Director For For Yes
Management Reappoint PricewaterhouseCoopers LLP as Auditors For For Yes
Management Authorise Board to Fix Remuneration of Auditors For For Yes
Management Approve Scrip Dividend For For Yes
Management Approve Political Donations and Expenditures For For Yes
Management Amend 2013 Long-Term Incentive Plan For For Yes
Management Authorise Issue of Equity with Pre-emptive Rights For For Yes
Management Authorise Issue of Equity without Pre-emptive For For Yes
Rights
Management Authorise Issue of Equity without Pre-emptive For For Yes
Rights
Management Authorise Market Purchase of Ordinary Shares For For Yes
Management Authorise the Company to Call General Meeting For For Yes
with Two Weeks' Notice
Mapletree Commercial Trust
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Ticker N2IU
Meeting Date 25-Jul-16
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Adopt Report of the Trustee, Statement by the For For Yes
Manager, Audited Financial Statements and
Auditors' Report
Management Approve PricewaterhouseCoopers LLP as Auditors For For Yes
and Authorize Manager to Fix Their Remuneration
Management Approve Issuance of Equity or Equity-Linked For For Yes
Securities with or without Preemptive Rights
Management Approve Acquisition of the Property as an For For Yes
Interested Person Transaction
Management Approve Issuance of New Units Under the Equity For For Yes
Fund Raising
Management Approve Whitewash Resolution For For Yes
Gecina
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Ticker GFC
Meeting Date 27-Jul-16
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Authorize Issuance of Equity or Equity-Linked For Against Yes
Securities without Preemptive Rights, up to
Aggregate Nominal Amount of EUR 150 Million, For
Future Exchange Offer on Fonciere de Paris Siic
Management Authorize Capital Issuances for Use in Employee For For Yes
Stock Purchase Plans
Management Authorize Filing of Required Documents/Other For For Yes
Formalities
Mapletree Greater China Commercial Trust
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Ticker RW0U
Meeting Date 29-Jul-16
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Adopt Report of the Trustee, Statement by the For For Yes
Manager, Audited Financial Statements and
Auditors' Report
Management Approve PricewaterhouseCoopers LLP as Auditors For For Yes
and Authorize the Manager to Fix Their
Remuneration
Management Approve Issuance of Equity or Equity-Linked For For Yes
Securities with or without Preemptive Rights
Merlin Properties SOCIMI, SA
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Ticker MRL
Meeting Date 14-Sep-16
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Approve Dividends Charged to Reserves For For Yes
Management Approve Acquisition of Metrovacesa's Commercial For For Yes
Property and Rented Residential Assets
Management Elect Rodrigo Echenique Gordillo as Director For For Yes
Management Elect Francisca Ortega Hernandez-Agero as Director For For Yes
Management Elect Javier Garcia-Carranza Benjumea as Director For For Yes
Management Elect Agustin Vidal-Aragon de Olives as Director For For Yes
Management Elect Pilar Cavero Mestre as Director For For Yes
Management Elect Juan Maria Aguirre Gonzalo as Director For For Yes
Management Fix Number of Directors at 15 For For Yes
Management Authorize Issuance of Non-Convertible For For Yes
Bonds/Debentures and/or Other Debt Securities up
to EUR 2.7 Billion and Issuance of Notes up to
EUR 500 Million
Management Authorize Board to Ratify and Execute Approved For For Yes
Resolutions
-18-
Sun Hung Kai Properties Ltd.
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Ticker 16
Meeting Date 09-Nov-16
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Accept Financial Statements and Statutory Reports For For Yes
Management Approve Final Dividend For For Yes
Management Elect Kwok Kai-wang, Christopher as Director For For Yes
Management Elect Kwok Ping-luen, Raymond as Director For For Yes
Management Elect Lee Shau-kee as Director For For Yes
Management Elect Wong Chik-wing, Mike as Director For For Yes
Management Elect Yip Dicky Peter as Director For For Yes
Management Elect Wong Yue-chim, Richard as Director For For Yes
Management Elect Fung Kwok-lun, William as Director For Against Yes
Management Elect Leung Nai-pang, Norman as Director For For Yes
Management Elect Leung Kui-king, Donald as Director For For Yes
Management Elect Kwan Cheuk-yin, William as Director For For Yes
Management Approve Directors' Fees For For Yes
Management Approve Deloitte Touche Tohmatsu as Auditor and For For Yes
Authorize Board to Fix Their Remuneration
Management Authorize Repurchase of Issued Share Capital For For Yes
Management Approve Issuance of Equity or Equity-Linked For Against Yes
Securities without Preemptive Rights
Management Authorize Reissuance of Repurchased Shares For Against Yes
Goodman Group
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Ticker GMG
Meeting Date 17-Nov-16
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Appoint KPMG as Auditors of the Company and For For Yes
Authorize the Board to Fix Their Remuneration
Management Elect Phillip Pryke as Director For For Yes
Management Elect Danny Peeters as Director For For Yes
Management Elect Anthony Rozic as Director For For Yes
Management Approve the Remuneration Report For Against Yes
New York REIT, Inc.
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Ticker NYRT
Meeting Date 30-Dec-16
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Craig T. Bouchard For For Yes
Management Elect Director Robert H. Burns For Withhold Yes
Management Elect Director James P. Hoffmann For For Yes
Management Elect Director Gregory F. Hughes For For Yes
Management Elect Director William M. Kahane For Withhold Yes
Management Elect Director Keith Locker For For Yes
Management Elect Director James Nelson For Withhold Yes
Management Elect Director P. Sue Perrotty For Withhold Yes
Management Elect Director Randolph C. Read For Withhold Yes
Management Ratify KPMG LLP as Auditors For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For Against Yes
Compensation
Management Advisory Vote on Say on Pay Frequency Three Years One Year Yes
New York REIT, Inc.
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Ticker NYRT
Meeting Date 03-Jan-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Approve Plan of Liquidation For For Yes
Management Adjourn Meeting For For Yes
Shaftesbury plc
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Ticker SHB
Meeting Date 10-Feb-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Accept Financial Statements and Statutory Reports For For Yes
Management Approve Remuneration Report For For Yes
Management Approve Final Dividend For For Yes
Management Elect Jonathan Nicholls as Director For For Yes
Management Re-elect Brian Bickell as Director For For Yes
Management Re-elect Simon Quayle as Director For For Yes
Management Re-elect Tom Welton as Director For For Yes
Management Re-elect Chris Ward as Director For For Yes
Management Re-elect Jill Little as Director For For Yes
Management Re-elect Oliver Marriott as Director For For Yes
Management Re-elect Dermot Mathias as Director For For Yes
Management Re-elect Hilary Riva as Director For For Yes
Management Re-elect Sally Walden as Director For For Yes
Management Reappoint Ernst & Young LLP as Auditors For For Yes
Management Authorise Board to Fix Remuneration of Auditors For For Yes
Management Authorise Issue of Equity with Pre-emptive Rights For For Yes
Management Authorise Issue of Equity without Pre-emptive For For Yes
Rights
Management Authorise Issue of Equity without Pre-emptive For For Yes
Rights in Connection with an Acquisition or Other
Capital Investment
Management Authorise Market Purchase of Ordinary Shares For For Yes
Management Authorise the Company to Call General Meeting For For Yes
with Two Weeks' Notice
Nippon Building Fund Inc.
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Ticker 8951
Meeting Date 15-Mar-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Amend Articles to Reflect Changes in Law For For Yes
Management Elect Executive Director Kageyama, Yoshiki For For Yes
Management Elect Alternate Executive Director Tanaka, Kenichi For For Yes
Management Elect Alternate Executive Director Shibata, Morio For For Yes
Management Elect Supervisory Director Goto, Hakaru For For Yes
Management Elect Supervisory Director Yamazaki, Masahiko For For Yes
Management Elect Supervisory Director Kawakami, Yutaka For For Yes
Fabege AB
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Ticker FABG
Meeting Date 29-Mar-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Open Meeting Yes
Management Elect Chairman of Meeting For For Yes
Management Prepare and Approve List of Shareholders For For Yes
Management Approve Agenda of Meeting For For Yes
Management Designate Inspector(s) of Minutes of Meeting For For Yes
Management Acknowledge Proper Convening of Meeting For For Yes
Management Receive Financial Statements and Statutory Reports Yes
Management Accept Financial Statements and Statutory Reports For For Yes
Management Approve Allocation of Income and Dividends of SEK For For Yes
4 Per Share
Management Approve Discharge of Board and President For For Yes
Management Approve 31 March 2017 as Record Date for Dividend For For Yes
Payment
Management Determine Number of Members (7) and Deputy For For Yes
Members (0) of Board; Receive Nominating
Committee's Report
Management Approve Remuneration of Directors in the Amount For For Yes
of SEK 800,000 for Chairman and SEK 200,000 for
Other Directors; Approve Remuneration for
Committee Work; Approve Remuneration of Auditors
Management Reelect Erik Paulsson (Chairman), Anette Asklin, For For Yes
Anna Engebretsen, Eva Eriksson, MarthaJosefsson,
Par Nuder and Mats Qviberg as Directors
Management Ratify Deloitte as Auditor For For Yes
Management Authorize Representatives of Four of Company's For For Yes
Largest Shareholders to Serve on Nominating
Committee
Management Approve Remuneration Policy And Other Terms of For For Yes
Employment For Executive Management
Management Authorize Share Repurchase Program and Reissuance For For Yes
of Repurchased Shares
Management Other Business Yes
Management Close Meeting Yes
-19-
PSP Swiss Property AG
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Ticker PSPN
Meeting Date 05-Apr-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Accept Financial Statements and Statutory Reports For For Yes
Management Approve Remuneration Report For For Yes
Management Approve Allocation of Income and Dividends of CHF For For Yes
3.35 per Share
Management Approve Discharge of Board and Senior Management For For Yes
Management Reelect Luciano Gabriel as Director For For Yes
Management Reelect Corinne Denzler as Director For For Yes
Management Reelect Adrian Dudle as Director For For Yes
Management Reelect Peter Forstmoser as Director For For Yes
Management Reelect Nathan Hetz as Director For For Yes
Management Reelect Josef Stadler as Director For For Yes
Management Reelect Aviram Wertheim as Director For For Yes
Management Elect Luciano Gabriel as Board Chairman For For Yes
Management Appoint Peter Forstmoser as Member of the For For Yes
Compensation Committee
Management Appoint Adrian Dudle as Member of the For For Yes
Compensation Committee
Management Appoint Nathan Hetz as Member of the Compensation For For Yes
Committee
Management Appoint Josef Stadler as Member of the For For Yes
Compensation Committee
Management Approve Remuneration of Board of Directors in the For For Yes
Amount of CHF 1 Million
Management Approve Remuneration of Executive Committee in For For Yes
the Amount of CHF 4.5 Million
Management Ratify Ernst and Young AG as Auditors For For Yes
Management Designate Proxy Voting Services GmbH as For For Yes
Independent Proxy
Management Transact Other Business (Voting) For Against Yes
Scentre Group
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Ticker SCG
Meeting Date 05-Apr-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Approve the Remuneration Report For For Yes
Management Elect Andrew Harmos as Director For For Yes
Management Elect Aliza Knox as Director For For Yes
Hammerson plc
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Ticker HMSO
Meeting Date 25-Apr-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Accept Financial Statements and Statutory Reports For For Yes
Management Approve Remuneration Report For For Yes
Management Approve Remuneration Policy For For Yes
Management Approve Final Dividend For For Yes
Management Re-elect David Atkins as Director For For Yes
Management Re-elect Pierre Bouchut as Director For For Yes
Management Re-elect Gwyn Burr as Director For For Yes
Management Re-elect Peter Cole as Director For For Yes
Management Re-elect Timon Drakesmith as Director For For Yes
Management Re-elect Terry Duddy as Director For For Yes
Management Re-elect Andrew Formica as Director For For Yes
Management Re-elect Judy Gibbons as Director For For Yes
Management Re-elect Jean-Philippe Mouton as Director For For Yes
Management Re-elect David Tyler as Director For For Yes
Management Appoint PricewaterhouseCoopers LLP as Auditors For For Yes
Management Authorise the Audit Committee to Fix Remuneration For For Yes
of Auditors
Management Authorise Issue of Equity with Pre-emptive Rights For For Yes
Management Authorise Issue of Equity without Pre-emptive For For Yes
Rights
Management Authorise Issue of Equity without Pre-emptive For For Yes
Rights in Connection with an Acquisition or Other
Capital Investment
Management Authorise Market Purchase of Ordinary Shares For For Yes
Management Approve Long-Term Incentive Plan For For Yes
Management Adopt New Articles of Association For For Yes
Management Approve Scrip Dividend Scheme For For Yes
Merlin Properties SOCIMI, SA
--------------------------------------------------------------------------------
Ticker MRL
Meeting Date 25-Apr-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Approve Consolidated and Standalone Financial For For Yes
Statements
Management Approve Allocation of Income and Dividends For For Yes
Management Approve Dividends Charged to Reserves For For Yes
Management Approve Discharge of Board For For Yes
Management Renew Appointment of Deloitte as Auditor For For Yes
Management Fix Number of Directors at 13 For For Yes
Management Ratify Appointment of and Elect Jose Ferris For For Yes
Monera as Director
Management Approve Remuneration of Directors For For Yes
Management Approve Remuneration Policy For Against Yes
Management Amend Restricted Stock Plan For For Yes
Management Approve Restricted Stock Plan For For Yes
Management Advisory Vote on Remuneration Report For Against Yes
Management Authorize Increase in Capital up to 50 Percent For For Yes
via Issuance of Equity or Equity-Linked
Securities, Excluding Preemptive Rights of up to
20 Percent
Management Authorize Share Repurchase Program For For Yes
Management Authorize Issuance of Convertible Bonds, For For Yes
Debentures, Warrants, and Other Debt Securities
without Preemptive Rights up to EUR 1 Billion
Management Authorize Issuance of Non-Convertible For For Yes
Bonds/Debentures and/or Other Debt Securities up
to EUR 4 Billion and Issuance of Notes up to EUR
500 Million
Management Amend Article 38 Re: Director Remuneration For For Yes
Management Amend Article 55 Re: Distribution of Dividends For For Yes
Management Amend Article 21 of General Meeting Regulations For For Yes
Re: Proxy Voting
Management Authorize Company to Call EGM with 15 Days' Notice For For Yes
Management Approve Charitable Donations For For Yes
Management Authorize Board to Ratify and Execute Approved For For Yes
Resolutions
-20-
Unibail Rodamco SE
--------------------------------------------------------------------------------
Ticker UL
Meeting Date 25-Apr-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Approve Financial Statements and Statutory Reports For For Yes
Management Approve Consolidated Financial Statements and For For Yes
Statutory Reports
Management Approve Allocation of Income and Dividends of EUR For For Yes
10.20 per Share
Management Approve Auditors' Special Report on Related-Party For For Yes
Transactions and Acknowledge the Absence of New
Transactions
Management Approve Remuneration Policy for Supervisory Board For For Yes
Members
Management Approve Remuneration Policy for Chairman of the For For Yes
Management Board
Management Approve Remuneration Policy for Management Board For For Yes
Members
Management Non-Binding Vote on Compensation of Christophe For For Yes
Cuvillier, Chairman of the Management Board
Management Non-Binding Vote on Compensation of Olivier For For Yes
Bossard, Fabrice Mouchel, Astrid Panosyan, Jaap
Tonckens and Jean-Marie Tritant, Members of the
Management Board
Management Reelect Dagmar Kollmann as Supervisory Board For For Yes
Member
Management Elect Phllippe Collombel as Supervisory Board For For Yes
Member
Management Elect Colin Dyer as Supervisory Board Member For For Yes
Management Elect Roderick Munsters as Supervisory Board For For Yes
Member
Management Renew Appointment of Ernst and Young Audit as For For Yes
Auditor
Management Renew Appointment of Deloitte et Associes as For For Yes
Auditor
Management Authorize Repurchase of Up to 10 Percent of For For Yes
Issued Share Capital
Management Authorize Decrease in Share Capital via For For Yes
Cancellation of Repurchased Shares
Management Authorize Issuance of Equity or Equity-Linked For For Yes
Securities with Preemptive Rights up to Aggregate
Nominal Amount of EUR 75 Million
Management Authorize Issuance of Equity or Equity-Linked For For Yes
Securities without Preemptive Rights up to
Aggregate Nominal Amount of EUR 45 Million
Management Authorize Board to Increase Capital in the Event For For Yes
of Additional Demand Related to Delegation
Submitted to Shareholder Vote under Items 18-19
Management Authorize Capital Increase of up to 10 Percent of For For Yes
Issued Capital for Contributions in Kind
Management Authorize up to 3 Percent of Issued Capital for For For Yes
Use in Stock Option Plans Reserved for Employees
and Executive Officers of the Company
Management Authorize Capital Issuances for Use in Employee For For Yes
Stock Purchase Plans
Management Authorize Filing of Required Documents/Other For For Yes
Formalities
Gecina
--------------------------------------------------------------------------------
Ticker GFC
Meeting Date 26-Apr-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Approve Financial Statements and Statutory Reports For For Yes
Management Approve Consolidated Financial Statements and For For Yes
Statutory Reports
Management Approve Transfer of Revaluation Gains and For For Yes
Additional Depreciation to Corresponding Reserves
Account
Management Approve Allocation of Income and Dividends of EUR For For Yes
5.20 per Share
Management Approve Stock Dividend Program (Cash or New For For Yes
Shares)
Management Approve Severance Agreement with Meka Brunel, CEO For For Yes
Management Non-Binding Vote on Compensation of Bernard For For Yes
Michel, Chairman
Management Non-Binding Vote on Compensation of Philippe For Against Yes
Depoux, CEO
Management Approve Remuneration Policy of the Chairman For For Yes
Management Approve Remuneration Policy of CEO For For Yes
Management Ratify Appointment of Ivanhoe Cambridge Inc. as For For Yes
Director
Management Reelect Ivanhoe Cambridge Inc. as Director For For Yes
Management Elect Laurence Danon as Director For For Yes
Management Authorize Repurchase of Up to 10 Percent of For For Yes
Issued Share Capital
Management Authorize Issuance of Equity or Equity-Linked For For Yes
Securities with Preemptive Rights up to Aggregate
Nominal Amount of EUR 100 Million
Management Authorize Issuance of Equity or Equity-Linked For For Yes
Securities without Preemptive Rights up to
Aggregate Nominal Amount of EUR 47.5 Million
Management Authorize Capital Increase of Up to EUR 47.5 For For Yes
Million for Future Exchange Offers
Management Approve Issuance of Equity or Equity-Linked For For Yes
Securities for up to 10 Percent of Issued Capital
Per Year for Private Placements, up to Aggregate
Nominal Amount of EUR 47.5 Million
Management Authorize Board to Increase Capital in the Event For For Yes
of Additional Demand Related to Delegation
Submitted to Shareholder Vote Above
Management Authorize Capital Increase of up to 10 Percent of For For Yes
Issued Capital for Contributions in Kind
Management Authorize Board to Set Issue Price for 10 Percent For For Yes
Per Year of Issued Capital Pursuant to Issue
Authority without Preemptive Rights
Management Authorize Capitalization of Reserves of Up to EUR For For Yes
100 Million for Bonus Issue or Increase in Par
Value
Management Authorize Capital Issuances for Use in Employee For For Yes
Stock Purchase Plans
Management Authorize Decrease in Share Capital via For For Yes
Cancellation of Repurchased Shares
Management Authorize Filing of Required Documents/Other For For Yes
Formalities
Federal Realty Investment Trust
--------------------------------------------------------------------------------
Ticker FRT
Meeting Date 03-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Jon E. Bortz For For Yes
Management Elect Director David W. Faeder For For Yes
Management Elect Director Elizabeth I. Holland For For Yes
Management Elect Director Gail P. Steinel For For Yes
Management Elect Director Warren M. Thompson For For Yes
Management Elect Director Joseph S. Vassalluzzo For For Yes
Management Elect Director Donald C. Wood For For Yes
Management Ratify Grant Thornton LLP as Auditors For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
-21-
Prologis, Inc.
--------------------------------------------------------------------------------
Ticker PLD
Meeting Date 03-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Hamid R. Moghadam For For Yes
Management Elect Director George L. Fotiades For For Yes
Management Elect Director Lydia H. Kennard For For Yes
Management Elect Director J. Michael Losh For For Yes
Management Elect Director Irving F. Lyons, III For For Yes
Management Elect Director David P. O'Connor For For Yes
Management Elect Director Olivier Piani For For Yes
Management Elect Director Jeffrey L. Skelton For For Yes
Management Elect Director Carl B. Webb For For Yes
Management Elect Director William D. Zollars For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Management Ratify KPMG LLP as Auditors For For Yes
LaSalle Hotel Properties
--------------------------------------------------------------------------------
Ticker LHO
Meeting Date 04-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Michael D. Barnello For For Yes
Management Elect Director Denise M. Coll For Withhold Yes
Management Elect Director Jeffrey T. Foland For Withhold Yes
Management Elect Director Darryl Hartley-Leonard For For Yes
Management Elect Director Jeffrey L. Martin For For Yes
Management Elect Director Stuart L. Scott For For Yes
Management Elect Director Donald A. Washburn For For Yes
Management Ratify KPMG LLP as Auditors For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Alexandria Real Estate Equities, Inc.
--------------------------------------------------------------------------------
Ticker ARE
Meeting Date 09-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Joel S. Marcus For For Yes
Management Elect Director Steven R. Hash For Withhold Yes
Management Elect Director John L. Atkins, III For Withhold Yes
Management Elect Director James P. Cain For Withhold Yes
Management Elect Director Maria C. Freire For Withhold Yes
Management Elect Director Richard H. Klein For Withhold Yes
Management Elect Director James H. Richardson For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Management Increase Authorized Common Stock For For Yes
Management Ratify Ernst & Young LLP as Auditors For For Yes
Acadia Realty Trust
--------------------------------------------------------------------------------
Ticker AKR
Meeting Date 10-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Kenneth F. Bernstein For For Yes
Management Elect Director Douglas Crocker, II For For Yes
Management Elect Director Lorrence T. Kellar For For Yes
Management Elect Director Wendy Luscombe For For Yes
Management Elect Director William T. Spitz For For Yes
Management Elect Director Lynn C. Thurber For For Yes
Management Elect Director Lee S. Wielansky For For Yes
Management Elect Director C. David Zoba For For Yes
Management Ratify BDO USA, LLP as Auditors For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Increase Authorized Preferred and Common Stock For Against Yes
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Simon Property Group, Inc.
--------------------------------------------------------------------------------
Ticker SPG
Meeting Date 10-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Glyn F. Aeppel For For Yes
Management Elect Director Larry C. Glasscock For For Yes
Management Elect Director Karen N. Horn For For Yes
Management Elect Director Allan Hubbard For For Yes
Management Elect Director Reuben S. Leibowitz For For Yes
Management Elect Director Gary M. Rodkin For For Yes
Management Elect Director Daniel C. Smith For For Yes
Management Elect Director J. Albert Smith, Jr. For For Yes
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Ratify Ernst & Young LLP as Auditors For For Yes
Empire State Realty Trust, Inc.
--------------------------------------------------------------------------------
Ticker ESRT
Meeting Date 11-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Anthony E. Malkin For For Yes
Management Elect Director William H. Berkman For For Yes
Management Elect Director Leslie D. Biddle For For Yes
Management Elect Director Thomas J. DeRosa For For Yes
Management Elect Director Steven J. Gilbert For Withhold Yes
Management Elect Director S. Michael Giliberto For For Yes
Management Elect Director James D. Robinson, IV For Withhold Yes
Management Advisory Vote to Ratify Named Executive Officers' For Against Yes
Compensation
Management Ratify Ernst & Young LLP as Auditors For For Yes
GPT Group
--------------------------------------------------------------------------------
Ticker GPT
Meeting Date 11-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Gene Tilbrook as Director For For Yes
Management Approve the Adoption of Remuneration Report For For Yes
Management Approve Grant of Performance Rights to Robert For For Yes
Johnston (2017 Deferred Short Term Incentive)
Management Approve Grant of Performance Rights to Robert For For Yes
Johnston (Long Term Incentive)
Essex Property Trust, Inc.
--------------------------------------------------------------------------------
Ticker ESS
Meeting Date 16-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Keith R. Guericke For For Yes
Management Elect Director Irving F. Lyons, III For For Yes
Management Elect Director George M. Marcus For For Yes
Management Elect Director Gary P. Martin For For Yes
Management Elect Director Issie N. Rabinovitch For For Yes
Management Elect Director Thomas E. Robinson For For Yes
Management Elect Director Michael J. Schall For For Yes
Management Elect Director Byron A. Scordelis For For Yes
Management Elect Director Janice L. Sears For For Yes
Management Ratify KPMG LLP as Auditors For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
-22-
Swire Properties Ltd.
--------------------------------------------------------------------------------
Ticker 1972
Meeting Date 16-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect John Robert Slosar as Director For For Yes
Management Elect Lim Siang Keat Raymond as Director For For Yes
Management Elect Low Mei Shuen Michelle as Director For Against Yes
Management Elect Cheng Lily Ka Lai as Director For For Yes
Management Elect Wu May Yihong as Director For For Yes
Management Approve PricewaterhouseCoopers as Auditors and For For Yes
Authorize Board to Fix Their Remuneration
Management Authorize Repurchase of Issued Share Capital For For Yes
Management Approve Issuance of Equity or Equity-Linked For Against Yes
Securities without Preemptive Rights
GGP Inc.
--------------------------------------------------------------------------------
Ticker GGP
Meeting Date 17-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Richard B. Clark For For Yes
Management Elect Director Mary Lou Fiala For For Yes
Management Elect Director J. Bruce Flatt For For Yes
Management Elect Director Janice R. Fukakusa For For Yes
Management Elect Director John K. Haley For For Yes
Management Elect Director Daniel B. Hurwitz For For Yes
Management Elect Director Brian W. Kingston For For Yes
Management Elect Director Christina M. Lofgren For For Yes
Management Elect Director Sandeep Mathrani For For Yes
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Ratify Deloitte & Touche LLP as Auditors For For Yes
Management Provide Directors May Be Removed With or Without For For Yes
Cause
Share Holder Adopt Proxy Access Right Against For Yes
AvalonBay Communities, Inc.
--------------------------------------------------------------------------------
Ticker AVB
Meeting Date 18-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Glyn F. Aeppel For For Yes
Management Elect Director Terry S. Brown For For Yes
Management Elect Director Alan B. Buckelew For For Yes
Management Elect Director Ronald L. Havner, Jr. For Against Yes
Management Elect Director Richard J. Lieb For For Yes
Management Elect Director Timothy J. Naughton For For Yes
Management Elect Director Peter S. Rummell For For Yes
Management Elect Director H. Jay Sarles For For Yes
Management Elect Director Susan Swanezy For For Yes
Management Elect Director W. Edward Walter For For Yes
Management Ratify Ernst & Young LLP as Auditors For For Yes
Management Amend Omnibus Stock Plan For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Vornado Realty Trust
--------------------------------------------------------------------------------
Ticker VNO
Meeting Date 18-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Michael Lynne For For Yes
Management Elect Director David M. Mandelbaum For Withhold Yes
Management Elect Director Mandakini Puri For For Yes
Management Elect Director Daniel R. Tisch For For Yes
Management Ratify Deloitte & Touche LLP as Auditors For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Derwent London plc
--------------------------------------------------------------------------------
Ticker DLN
Meeting Date 19-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Accept Financial Statements and Statutory Reports For For Yes
Management Approve Remuneration Policy For For Yes
Management Approve Remuneration Report For For Yes
Management Approve Final Dividend For For Yes
Management Approve Special Dividend For For Yes
Management Re-elect Robert Rayne as Director For For Yes
Management Re-elect John Burns as Director For For Yes
Management Re-elect Simon Silver as Director For For Yes
Management Re-elect Damian Wisniewski as Director For For Yes
Management Re-elect Nigel George as Director For For Yes
Management Re-elect David Silverman as Director For For Yes
Management Re-elect Paul Williams as Director For For Yes
Management Re-elect Stephen Young as Director For For Yes
Management Re-elect Simon Fraser as Director For For Yes
Management Re-elect Richard Dakin as Director For For Yes
Management Re-elect Claudia Arney as Director For For Yes
Management Re-elect Cilla Snowball as Director For For Yes
Management Reappoint PricewaterhouseCoopers LLP as Auditors For For Yes
Management Authorise Board to Fix Remuneration of Auditors For For Yes
Management Authorise Issue of Equity with Pre-emptive Rights For For Yes
Management Authorise Issue of Equity without Pre-emptive For For Yes
Rights
Management Authorise Issue of Equity without Pre-emptive For For Yes
Rights in Connection with an Acquisition or Other
Capital Investment
Management Authorise Market Purchase of Ordinary Shares For For Yes
Management Authorise the Company to Call General Meeting For For Yes
with Two Weeks' Notice
Boston Properties, Inc.
--------------------------------------------------------------------------------
Ticker BXP
Meeting Date 23-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Bruce W. Duncan For For Yes
Management Elect Director Karen E. Dykstra For For Yes
Management Elect Director Carol B. Einiger For For Yes
Management Elect Director Jacob A. Frenkel For For Yes
Management Elect Director Joel I. Klein For For Yes
Management Elect Director Douglas T. Linde For For Yes
Management Elect Director Matthew J. Lustig For For Yes
Management Elect Director Alan J. Patricof For For Yes
Management Elect Director Owen D. Thomas For For Yes
Management Elect Director Martin Turchin For For Yes
Management Elect Director David A. Twardock For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Management Ratify PricewaterhouseCoopers LLP as Auditors For For Yes
-23-
Kilroy Realty Corporation
--------------------------------------------------------------------------------
Ticker KRC
Meeting Date 23-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director John Kilroy For For Yes
Management Elect Director Edward Brennan For For Yes
Management Elect Director Jolie Hunt For For Yes
Management Elect Director Scott Ingraham For For Yes
Management Elect Director Gary Stevenson For For Yes
Management Elect Director Peter Stoneberg For For Yes
Management Amend Omnibus Stock Plan For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Management Ratify Deloitte & Touche LLP as Auditors For For Yes
Rexford Industrial Realty, Inc.
--------------------------------------------------------------------------------
Ticker REXR
Meeting Date 23-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Richard S. Ziman For For Yes
Management Elect Director Howard Schwimmer For For Yes
Management Elect Director Michael S. Frankel For For Yes
Management Elect Director Robert L. Antin For For Yes
Management Elect Director Steven C. Good For Withhold Yes
Management Elect Director Tyler H. Rose For Withhold Yes
Management Elect Director Peter E. Schwab For Withhold Yes
Management Ratify Ernst & Young LLP as Auditors For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Adopt Majority Voting for Uncontested Election of For For Yes
Directors
Hulic REIT, Inc.
--------------------------------------------------------------------------------
Ticker 3295
Meeting Date 25-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Amend Articles to Amend Asset Management For For Yes
Compensation
Management Elect Executive Director Tokita, Eiji For For Yes
Management Elect Alternate Executive Director Chokki, Kazuaki For For Yes
Management Elect Supervisory Director Shimada, Kunio For Against Yes
Management Elect Supervisory Director Sugimoto, Shigeru For For Yes
First Capital Realty Inc.
--------------------------------------------------------------------------------
Ticker FCR
Meeting Date 30-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Dori J. Segal For For Yes
Management Elect Director Adam E. Paul For For Yes
Management Elect Director Jon N. Hagan For For Yes
Management Elect Director Allan S. Kimberley For For Yes
Management Elect Director Annalisa King For For Yes
Management Elect Director Bernard McDonell For For Yes
Management Elect Director Mia Stark For For Yes
Management Elect Director Andrea Stephen For For Yes
Management Approve Ernst & Young LLP as Auditors and For For Yes
Authorize Board to Fix Their Remuneration
Management Amend Stock Option Plan For For Yes
Management Amend Restricted Share Unit Plan For For Yes
Management Approve Advance Notice Requirement For For Yes
Equinix, Inc.
--------------------------------------------------------------------------------
Ticker EQIX
Meeting Date 31-May-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Thomas Bartlett For For Yes
Management Elect Director Nanci Caldwell For For Yes
Management Elect Director Gary Hromadko For For Yes
Management Elect Director John Hughes For For Yes
Management Elect Director Scott Kriens For For Yes
Management Elect Director William Luby For For Yes
Management Elect Director Irving Lyons, III For For Yes
Management Elect Director Christopher Paisley For For Yes
Management Elect Director Stephen Smith For For Yes
Management Elect Director Peter Van Camp For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Management Re-approve Material Terms for Long-Term Incentive For For Yes
Performance Awards
Management Ratify PricewaterhouseCoopers LLP as Auditors For For Yes
New York REIT, Inc.
--------------------------------------------------------------------------------
Ticker NYRT
Meeting Date 08-Jun-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director Craig T. Bouchard For For Yes
Management Elect Director Howard Goldberg For For Yes
Management Elect Director Joe C. McKinney For For Yes
Management Elect Director James Nelson *Withdrawn Resolution* Yes
Management Elect Director P. Sue Perrotty For Withhold Yes
Management Elect Director Randolph C. Read For Withhold Yes
Management Elect Director Wendy Silverstein For For Yes
Management Ratify KPMG LLP as Auditors For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For Against Yes
Compensation
Equity Residential
--------------------------------------------------------------------------------
Ticker EQR
Meeting Date 15-Jun-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Elect Director John W. Alexander For For Yes
Management Elect Director Charles L. Atwood For For Yes
Management Elect Director Linda Walker Bynoe For For Yes
Management Elect Director Connie K. Duckworth For For Yes
Management Elect Director Mary Kay Haben For For Yes
Management Elect Director Bradley A. Keywell For For Yes
Management Elect Director John E. Neal For For Yes
Management Elect Director David J. Neithercut For For Yes
Management Elect Director Mark S. Shapiro For For Yes
Management Elect Director Gerald A. Spector For For Yes
Management Elect Director Stephen E. Sterrett For For Yes
Management Elect Director Samuel Zell For For Yes
Management Ratify Ernst & Young LLP as Auditors For For Yes
Management Advisory Vote to Ratify Named Executive Officers' For For Yes
Compensation
Management Advisory Vote on Say on Pay Frequency One Year One Year Yes
Share Holder Provide Shareholders the Right to Amend Bylaws Against Against Yes
-24-
Inmobiliaria Colonial S.A.
--------------------------------------------------------------------------------
Ticker COL
Meeting Date 28-Jun-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Approve Standalone Financial Statements For For Yes
Management Approve Consolidated Financial Statements For For Yes
Management Approve Allocation of Income For For Yes
Management Approve Dividends For For Yes
Management Approve Discharge of Board and Management Reports For For Yes
Management Adhere to Special Fiscal Regime Applicable to For For Yes
Real Estate Investment Companies
Management Authorize Share Repurchase Program For For Yes
Management Authorize Increase in Capital up to 50 Percent For For Yes
via Issuance of Equity or Equity-Linked
Securities, Excluding Preemptive Rights of up to
20 Percent
Management Authorize Company to Call EGM with 15 Days' Notice For For Yes
Management Fix Number of Directors at 10 For For Yes
Management Amend Restricted Stock Plan For Against Yes
Management Advisory Vote on Remuneration Report For For Yes
Management Receive Amendments to Board of Directors Yes
Regulations
Management Authorize Board to Ratify and Execute Approved For For Yes
Resolutions
Mitsubishi Estate Co Ltd
--------------------------------------------------------------------------------
Ticker 8802
Meeting Date 29-Jun-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Approve Allocation of Income, with a Final For For Yes
Dividend of JPY 11
Management Elect Director Sugiyama, Hirotaka For For Yes
Management Elect Director Yoshida, Junichi For For Yes
Management Elect Director Kato, Jo For For Yes
Management Elect Director Tanisawa, Junichi For For Yes
Management Elect Director Katayama, Hiroshi For For Yes
Management Elect Director Nishigai, Noboru For For Yes
Management Elect Director Yanagisawa, Yutaka For For Yes
Management Elect Director Okusa, Toru For For Yes
Management Elect Director Matsuhashi, Isao For For Yes
Management Elect Director Ebihara, Shin For For Yes
Management Elect Director Tomioka, Shu For For Yes
Management Elect Director Shirakawa, Masaaki For For Yes
Management Elect Director Nagase, Shin For For Yes
Management Elect Director Egami, Setsuko For For Yes
Management Elect Director Taka, Iwao For For Yes
Mitsui Fudosan Co. Ltd.
--------------------------------------------------------------------------------
Ticker 8801
Meeting Date 29-Jun-17
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Management Approve Allocation of Income, with a Final For For Yes
Dividend of JPY 18
Management Elect Director Iwasa, Hiromichi For For Yes
Management Elect Director Komoda, Masanobu For For Yes
Management Elect Director Kitahara, Yoshikazu For For Yes
Management Elect Director Fujibayashi, Kiyotaka For For Yes
Management Elect Director Onozawa, Yasuo For For Yes
Management Elect Director Sato, Masatoshi For For Yes
Management Elect Director Ishigami, Hiroyuki For For Yes
Management Elect Director Yamamoto, Takashi For For Yes
Management Elect Director Yamashita, Toru For For Yes
Management Elect Director Egashira, Toshiaki For For Yes
Management Elect Director Egawa, Masako For For Yes
Management Elect Director Nogimori, Masafumi For For Yes
Management Approve Annual Bonus For For Yes
Management Approve Director Retirement Bonus For For Yes
-25-
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 Exchange-Traded Fund IV
-----------------------------------------
By (Signature and Title)* /s/ James M. Dykas
-----------------------------------
James M. Dykas, President and
Chief Executive Officer
Date August 11, 2017
-------------------------
* Print the name and title of each signing officer under his or her signature.