UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File No. 811-22452
FIRST TRUST SERIES FUND
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Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
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Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: October 31
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Date of reporting period: July 1, 2017 - June 30, 2018
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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
================= First Trust Short Duration High Income Fund ==================
VISTRA ENERGY CORP.
Ticker: VST Security ID: 92840M102
Meeting Date: MAR 02, 2018 Meeting Type: Special
Record Date: JAN 19, 2018
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger Agreement For For Management
2 Issue Shares in Connection with For For Management
Acquisition
3 Adjourn Meeting For For Management
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VISTRA ENERGY CORP.
Ticker: VST Security ID: 92840M102
Meeting Date: MAY 01, 2018 Meeting Type: Annual
Record Date: MAR 23, 2018
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Hilary E. Ackermann For For Management
1.2 Elect Director Brian K. Ferraioli For Withhold Management
1.3 Elect Director Jeff D. Hunter For Withhold Management
2.1 Elect Director Brian K. Ferraioli For Withhold Management
2.2 Elect Director Jeff D. Hunter For Withhold Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency One Year One Year Management
5 Ratify Deloitte & Touche LLP as For For Management
Auditors
- 1 -
======================= First Trust AQA(R) Equity Fund =======================
Abiomed Inc.
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Ticker ABMD
Provider Security ID 003654100
Meeting Date 09-Aug-17 Meeting Type Annual
Record Date 12-Jun-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Dorothy E. Puhy For For Voted
Mgmt Elect Paul G. Thomas For For Voted
Mgmt Elect Christopher D. Van Gorder For For Voted
Mgmt ADVISORY VOTE ON EXECUTIVE For For Voted
COMPENSATION
Mgmt Frequency of Advisory Vote on 1 Year 1 Year Voted
Executive Compensation
Mgmt Ratification of Auditor For For Voted
Affiliated Managers Group, Inc.
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Ticker AMG
Provider Security ID 008252108
Meeting Date 12-Jun-18 Meeting Type Annual
Record Date 16-Apr-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Samuel T. Byrne For For Voted
Mgmt Elect Dwight D. Churchill For For Voted
Mgmt Elect Glenn Earle For For Voted
Mgmt Elect Niall Ferguson For For Voted
Mgmt Elect Sean M. Healey For For Voted
Mgmt Elect Tracy P. Palandjian For For Voted
Mgmt Elect Patrick T. Ryan For For Voted
Mgmt Elect Karen Yerburgh For For Voted
Mgmt Elect Jide J. Zeitlin For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Mgmt Elect Nathaniel Dalton For For Voted
Alliance Data Systems Corporation
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Ticker ADS
Provider Security ID 018581108
Meeting Date 06-Jun-18 Meeting Type Annual
Record Date 09-Apr-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Bruce K. Anderson For For Voted
Mgmt Elect Roger H. Ballou For For Voted
Mgmt Elect Kelly J. Barlow For For Voted
Mgmt Elect E. Linn Draper, Jr. For For Voted
Mgmt Elect Edward J. Heffernan For For Voted
Mgmt Elect Kenneth R. Jensen For For Voted
Mgmt Elect Robert A. Minicucci For For Voted
Mgmt Elect Timothy J. Theriault For For Voted
Mgmt Elect Laurie A. Tucker For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Altria Group, Inc.
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Ticker MO
Provider Security ID 02209S103
Meeting Date 17-May-18 Meeting Type Annual
Record Date 26-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect John T. Casteen III For For Voted
Mgmt Elect Dinyar S. Devitre For For Voted
Mgmt Elect Thomas F. Farrell II For For Voted
Mgmt Elect Debra J. Kelly-Ennis For For Voted
Mgmt Elect W. Leo Kiely III For For Voted
Mgmt Elect Kathryn B. McQuade For For Voted
Mgmt Elect George Munoz For For Voted
Mgmt Elect Mark E. Newman For For Voted
Mgmt Elect Nabil Y. Sakkab For For Voted
Mgmt Elect Virginia E. Shanks For For Voted
Mgmt Elect Howard Willard III For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
ShrHoldr Shareholder Proposal Regarding Against Against Voted
Nicotine Levels in Tobacco Products
- 2 -
Applied Optoelectronics, Inc.
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Ticker AAOI
Provider Security ID 03823U102
Meeting Date 08-Jun-18 Meeting Type Annual
Record Date 13-Apr-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect William H. Yeh For For Voted
Mgmt Elect Alex Ignatiev For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Frequency of Advisory Vote on 1 Year 1 Year Voted
Executive Compensation
Bed Bath & Beyond Inc.
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Ticker BBBY
Provider Security ID 075896100
Meeting Date 29-Jun-18 Meeting Type Annual
Record Date 04-May-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Warren Eisenberg For For Voted
Mgmt Elect Leonard Feinstein For For Voted
Mgmt Elect Steven H. Temares For For Voted
Mgmt Elect Dean S. Adler For For Voted
Mgmt Elect Stanley F. Barshay For For Voted
Mgmt Elect Stephanie Bell-Rose For For Voted
Mgmt Elect Klaus Eppler For For Voted
Mgmt Elect Patrick R. Gaston For For Voted
Mgmt Elect Jordan Heller For For Voted
Mgmt Elect Victoria A. Morrison For Against Voted
Mgmt Elect Johnathan Osborne For For Voted
Mgmt Elect Virginia P. Ruesterholz For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For Against Voted
Compensation
Mgmt Approval of 2018 Incentive For For Voted
Compensation Plan
BJ's Restaurants, Inc.
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Ticker BJRI
Provider Security ID 09180C106
Meeting Date 06-Jun-18 Meeting Type Annual
Record Date 19-Apr-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Peter A. Bassi For For Voted
Mgmt Elect Larry D. Bouts For For Voted
Mgmt Elect James A. Dal Pozzo For Withhold Voted
Mgmt Elect Gerald W. Deitchle For For Voted
Mgmt Elect Noah Elbogen For For Voted
Mgmt Elect Lea Anne S. Ottinger For For Voted
Mgmt Elect Gregory A. Trojan For For Voted
Mgmt Elect Patrick Walsh For Withhold Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Boise Cascade Company
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Ticker BCC
Provider Security ID 09739D100
Meeting Date 03-May-18 Meeting Type Annual
Record Date 06-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Thomas K. Corrick For For Voted
Mgmt Elect Richard H. Fleming For For Voted
Mgmt Elect Mack L. Hogans For For Voted
Mgmt Elect Christopher J. McGowan For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Boyd Gaming Corp.
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Ticker BYD
Provider Security ID US1033041013
Meeting Date 12-Apr-18 Meeting Type Annual
Record Date 02-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect John R. Bailey For For Voted
Mgmt Elect Robert L. Boughner For Withhold Voted
Mgmt Elect William R. Boyd For Withhold Voted
Mgmt Elect William S. Boyd For For Voted
Mgmt Elect Richard E. Flaherty For For Voted
Mgmt Elect Marianne Boyd Johnson For For Voted
Mgmt Elect Keith E. Smith For For Voted
Mgmt Elect Christine J. Spadafor For For Voted
Mgmt Elect Peter M. Thomas For For Voted
Mgmt Elect Paul W. Whetsell For For Voted
Mgmt Elect Veronica J. Wilson For For Voted
Mgmt Ratification of Auditor For For Voted
- 3 -
Cal-Maine Foods, Inc.
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Ticker CALM
Provider Security ID 128030202
Meeting Date 06-Oct-17 Meeting Type Annual
Record Date 11-Aug-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Adolphus B. Baker For Withhold Voted
Mgmt Elect Timothy A. Dawson For Withhold Voted
Mgmt Elect Letitia C. Hughes For For Voted
Mgmt Elect Sherman Miller For For Voted
Mgmt Elect James E. Poole For For Voted
Mgmt Elect Steve W. Sanders For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Frequency of Advisory Vote on 3 Years 1 Year Voted
Executive Compensation
Mgmt Ratification of Auditor For For Voted
Callaway Golf Company
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Ticker ELY
Provider Security ID 131193104
Meeting Date 08-May-18 Meeting Type Annual
Record Date 12-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Oliver G. Brewer III For For Voted
Mgmt Elect Ronald S. Beard For For Voted
Mgmt Elect Samuel H. Armacost For For Voted
Mgmt Elect John C. Cushman, III For For Voted
Mgmt Elect John F. Lundgren For For Voted
Mgmt Elect Adebayo O. Ogunlesi For For Voted
Mgmt Elect Linda B. Segre For For Voted
Mgmt Elect Anthony S. Thornley For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Cognex Corporation
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Ticker CGNX
Provider Security ID 192422103
Meeting Date 25-Apr-18 Meeting Type Annual
Record Date 02-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Eugene Banucci For For Voted
Mgmt Elect Jerry A. Schneider For For Voted
Mgmt Elect Dianne M. Parrotte For For Voted
Mgmt Increase of Authorized Common Stock For For Voted
Mgmt Amendment to the 2001 Stock Option For Against Voted
Plan
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Cognizant Technology Solutions Corporation
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Ticker CTSH
Provider Security ID 192446102
Meeting Date 05-Jun-18 Meeting Type Annual
Record Date 09-Apr-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Zein Abdalla For For Voted
Mgmt Elect Betsy Atkins For For Voted
Mgmt Elect Maureen Breakiron-Evans For For Voted
Mgmt Elect Jonathan Chadwick For For Voted
Mgmt Elect John M. Dineen For For Voted
Mgmt Elect Francisco D'Souza For For Voted
Mgmt Elect John N. Fox, Jr. For For Voted
Mgmt Elect John E. Klein For For Voted
Mgmt Elect Leo S. Mackay, Jr. For For Voted
Mgmt Elect Michael Patsalos-Fox For For Voted
Mgmt Elect Joseph M. Velli For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Mgmt Amendment to the 2004 Employee For For Voted
Stock Purchase Plan
Mgmt Elimination of Supermajority For For Voted
Requirement for
Amendments to Bylaws
Mgmt Elimination of Supermajority For For Voted
Requirement for Removal
of Directors
Mgmt Elimination of Supermajority For For Voted
Requirement to Amend
Certain Provisions of Certificate
of Incorporation
ShrHoldr Shareholder Proposal Regarding Against For Voted
Right to Act by Written Consent
ShrHoldr Shareholder Proposal Regarding Against For Voted
Right to Call Special Meetings
- 4 -
Dana Incorporated
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Ticker DAN
Provider Security ID 235825205
Meeting Date 26-Apr-18 Meeting Type Annual
Record Date 26-Feb-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Rachel A. Gonzalez For For Voted
Mgmt Elect James K. Kamsickas For For Voted
Mgmt Elect Virginia A. Kamsky For For Voted
Mgmt Elect Raymond E. Mabus, Jr. For For Voted
Mgmt Elect Michael J. Mack, Jr. For For Voted
Mgmt Elect R. Bruce McDonald For For Voted
Mgmt Elect Diarmuid B. O'Connell For For Voted
Mgmt Elect Keith E. Wandell For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Mgmt Elimination of Supermajority For For Voted
Requirement
ShrHoldr Shareholder Proposal Regarding Against For Voted
Right to Call Special Meetings
Dave & Buster's Entertainment, Inc.
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Ticker PLAY
Provider Security ID 238337109
Meeting Date 14-Jun-18 Meeting Type Annual
Record Date 20-Apr-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Victor L. Crawford For For Voted
Mgmt Elect Hamish A. Dodds For For Voted
Mgmt Elect Michael J. Griffith For For Voted
Mgmt Elect Jonathan S. Halkyard For For Voted
Mgmt Elect Stephen M. King For For Voted
Mgmt Elect Patricia H. Mueller For For Voted
Mgmt Elect Kevin M. Sheehan For For Voted
Mgmt Elect Jennifer Storms For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Delta Air Lines, Inc.
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Ticker DAL
Provider Security ID 247361702
Meeting Date 29-Jun-18 Meeting Type Annual
Record Date 02-May-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Edward H. Bastian For For Voted
Mgmt Elect Francis S. Blake For For Voted
Mgmt Elect Daniel A. Carp For For Voted
Mgmt Elect Ashton B. Carter For For Voted
Mgmt Elect David G. DeWalt For For Voted
Mgmt Elect William H. Easter III For For Voted
Mgmt Elect Michael P. Huerta For For Voted
Mgmt Elect Jeanne P. Jackson For For Voted
Mgmt Elect George N. Mattson For For Voted
Mgmt Elect Douglas R Ralph For For Voted
Mgmt Elect Sergio A. L. Rial For For Voted
Mgmt Elect Kathy N. Waller For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Facebook, Inc.
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Ticker FB
Provider Security ID 30303M102
Meeting Date 31-May-18 Meeting Type Annual
Record Date 06-Apr-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Marc L. Andreessen For Withhold Voted
Mgmt Elect Erskine B. Bowles For Withhold Voted
Mgmt Elect Kenneth I. Chenault For For Voted
Mgmt Elect Susan D. Desmond-Hellmann For Withhold Voted
Mgmt Elect Reed Hastings For For Voted
Mgmt Elect Jan Koum For Withhold Voted
Mgmt Elect Sheryl K. Sandberg For For Voted
Mgmt Elect Peter A. Thiel For For Voted
Mgmt Elect Mark Zuckerberg For For Voted
Mgmt Ratification of Auditor For For Voted
ShrHoldr Shareholder Proposal Regarding Against For Voted
Recapitalization
ShrHoldr Shareholder Proposal Regarding Against For Voted
Formation of a Risk Oversight
Committee
ShrHoldr Shareholder Proposal Regarding Against For Voted
Simple Majority Vote
ShrHoldr Shareholder Proposal Regarding a Against For Voted
Report on the Efficacy of
Enforcement of Content Policies
ShrHoldr Shareholder Proposal Regarding Against Against Voted
Gender Pay Equity Report
ShrHoldr Shareholder Proposal Regarding Tax Against Against Voted
Policy Principles
- 5 -
Hawaiian Holdings, Inc.
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Ticker HA
Provider Security ID 419879101
Meeting Date 23-May-18 Meeting Type Annual
Record Date 26-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Donald J. Carty For For Voted
Mgmt Elect Abhinav Dhar For For Voted
Mgmt Elect Earl E. Fry For For Voted
Mgmt Elect Lawrence S. Hershfield For For Voted
Mgmt Elect Peter R. Ingram For For Voted
Mgmt Elect Randall L. Jenson For For Voted
Mgmt Elect Crystal K. Rose For For Voted
Mgmt Elect Richard N. Zwern For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
HCA Healthcare, Inc.
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Ticker HCA
Provider Security ID 40412C101
Meeting Date 26-Apr-18 Meeting Type Annual
Record Date 07-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect R. Milton Johnson For For Voted
Mgmt Elect Robert J. Dennis For Against Voted
Mgmt Elect Nancy-Ann DeParle For For Voted
Mgmt Elect Thomas F. Frist III For For Voted
Mgmt Elect William R. Frist For For Voted
Mgmt Elect Charles O. Holliday, Jr. For For Voted
Mgmt Elect Ann H. Lamont For For Voted
Mgmt Elect Geoffrey G. Meyers For For Voted
Mgmt Elect Michael W. Michelson For For Voted
Mgmt Elect Wayne J. Riley For For Voted
Mgmt Elect John W. Rowe For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Frequency of Advisory Vote on 1 Year 1 Year Voted
Executive Compensation
Jacobs Engineering Group Inc.
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Ticker JEC
Provider Security ID 469814107
Meeting Date 17-Jan-18 Meeting Type Annual
Record Date 22-Nov-17
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Joseph R. Bronson For For Voted
Mgmt Elect Juan Jose Suarez Coppel For For Voted
Mgmt Elect Robert C. Davidson, Jr. For For Voted
Mgmt Elect Steven J. Demetriou For For Voted
Mgmt Elect Ralph E. Eberhart For For Voted
Mgmt Elect Dawne S. Hickton For For Voted
Mgmt Elect Linda Fayne Levinson For For Voted
Mgmt Elect Robert A. McNamara For For Voted
Mgmt Elect Peter J. Robertson For For Voted
Mgmt Elect Chris M.T. Thompson For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
KB Home
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Ticker KBH
Provider Security ID 48666K109
Meeting Date 12-Apr-18 Meeting Type Annual
Record Date 09-Feb-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Dorene C. Dominguez For For Voted
Mgmt Elect Timothy W. Finchem For For Voted
Mgmt Elect Stuart A. Gabriel For For Voted
Mgmt Elect Thomas W. Gilligan For For Voted
Mgmt Elect Kenneth M. Jastrow II For For Voted
Mgmt Elect Robert L. Johnson For Against Voted
Mgmt Elect Melissa Lora For For Voted
Mgmt Elect Jeffrey T. Mezger For For Voted
Mgmt Elect James C. Weaver For For Voted
Mgmt Elect Michael M. Wood For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Amendment to Shareholder Rights Plan For For Voted
Mgmt Ratification of Auditor For For Voted
- 6 -
Louisiana-Pacific Corporation
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Ticker LPX
Provider Security ID 546347105
Meeting Date 04-May-18 Meeting Type Annual
Record Date 08-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Ozey K. Horton, Jr. For For Voted
Mgmt Elect W. Bradley Southern For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Masimo Corporation
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Ticker MASI
Provider Security ID 574795100
Meeting Date 31-May-18 Meeting Type Annual
Record Date 02-Apr-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Joe Kiani For For Voted
Mgmt Elect Thomas Harkin For Against Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For Against Voted
Compensation
Monolithic Power Systems, Inc.
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Ticker MPWR
Provider Security ID 609839105
Meeting Date 14-Jun-18 Meeting Type Annual
Record Date 17-Apr-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Eugen Elmiger For For Voted
Mgmt Elect Jeff Zhou For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
MSCI Inc.
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Ticker MSCI
Provider Security ID 55354G100
Meeting Date 10-May-18 Meeting Type Annual
Record Date 14-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Henry A. Fernandez For For Voted
Mgmt Elect Robert G. Ashe For For Voted
Mgmt Elect Benjamin F. duPont For For Voted
Mgmt Elect Wayne Edmunds For For Voted
Mgmt Elect Alice W. Handy For For Voted
Mgmt Elect Catherine R. Kinney For For Voted
Mgmt Elect Wendy E. Lane For For Voted
Mgmt Elect Jacques P. Perold For For Voted
Mgmt Elect Linda H. Riefler For For Voted
Mgmt Elect George W. Siguler For For Voted
Mgmt Elect Marcus L. Smith For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Nautilus, Inc.
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Ticker NLS
Provider Security ID 63910B102
Meeting Date 26-Apr-18 Meeting Type Annual
Record Date 08-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Ronald P. Badie For For Voted
Mgmt Elect Bruce M. Cazenave For For Voted
Mgmt Elect Richard A. Horn For For Voted
Mgmt Elect M. Carl Johnson, III For For Voted
Mgmt Elect Anne G. Saunders For For Voted
Mgmt Elect Marvin G. Siegert For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
- 7 -
Old Dominion Freight Line, Inc.
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Ticker ODFL
Provider Security ID 679580100
Meeting Date 16-May-18 Meeting Type Annual
Record Date 08-Mar-18
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Earl E. Congdon For For Voted
Mgmt Elect David S. Congdon For For Voted
Mgmt Elect Sherry A. Aaholm For For Voted
Mgmt Elect John R. Congdon, Jr. For Withhold Voted
Mgmt Elect Robert G. Culp, III For For Voted
Mgmt Elect Bradley R. Gabosch For For Voted
Mgmt Elect Greg C. Gantt For For Voted
Mgmt Elect Patrick D. Hanley For For Voted
Mgmt Elect John D. Kasarda For For Voted
Mgmt Elect Leo H. Suggs For For Voted
Mgmt Elect D. Michael Wray For For Voted
Mgmt Advisory Vote on Executive For Against Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Saia, Inc.
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Ticker SAIA
Provider Security ID 78709Y105
Meeting Date 26-Apr-18 Meeting Type Annual
Record Date 07-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Di-Ann Eisnor For For Voted
Mgmt Elect William F. Evans For For Voted
Mgmt Elect Herbert A. Trucksess, III For For Voted
Mgmt Elect Jeffrey C. Ward For For Voted
Mgmt Approval of the 2018 Omnibus For For Voted
Incentive Plan
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Skechers U.S.A., Inc.
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Ticker SKX
Provider Security ID 830566105
Meeting Date 22-May-18 Meeting Type Annual
Record Date 23-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Robert Greenberg For For Voted
Mgmt Elect Morton D. Erlich For Withhold Voted
Mgmt Elect Thomas Walsh For For Voted
Southwest Airlines Co.
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Ticker LUV
Provider Security ID 844741108
Meeting Date 16-May-18 Meeting Type Annual
Record Date 20-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect David W. Biegler For For Voted
Mgmt Elect J. Veronica Biggins For For Voted
Mgmt Elect Douglas H. Brooks For For Voted
Mgmt Elect William H. Cunningham For For Voted
Mgmt Elect John G. Denison For For Voted
Mgmt Elect Thomas W. Gilligan For For Voted
Mgmt Elect Gary C. Kelly For For Voted
Mgmt Elect Grace D. Lieblein For For Voted
Mgmt Elect Nancy B. Loeffler For For Voted
Mgmt Elect John T. Montford For For Voted
Mgmt Elect Ron Ricks For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
ShrHoldr Shareholder Proposal Regarding Against Against Voted
Independent Board Chair
ShrHoldr Shareholder Proposal Regarding Against For Voted
Right to Act by Written Consent
Steven Madden, Ltd.
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Ticker SHOO
Provider Security ID 556269108
Meeting Date 25-May-18 Meeting Type Annual
Record Date 29-Mar-18
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MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Edward R. Rosenfeld For For Voted
Mgmt Elect Rose Peabody Lynch For For Voted
Mgmt Elect Mitchell S. Klipper For For Voted
Mgmt Elect Peter Migliorini For Withhold Voted
Mgmt Elect Richard P. Randall For For Voted
Mgmt Elect Ravi Sachdev For For Voted
Mgmt Elect Thomas H. Schwartz For Withhold Voted
Mgmt Elect Robert Smith For For Voted
Mgmt Elect Amelia Newton Varela For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
- 8 -
Synnex Corp
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Ticker SNX
Provider Security ID 87162W100
Meeting Date 20-Mar-18 Meeting Type Annual
Record Date 06-Feb-18
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Dwight A. Steffensen For For Voted
Mgmt Elect Kevin M. Murai For For Voted
Mgmt Elect Dennis Polk For For Voted
Mgmt Elect Fred A. Breidenbach For For Voted
Mgmt Elect LEE Hau Leung For For Voted
Mgmt Elect MIAU Matthew Feng-Chiang For Withhold Voted
Mgmt Elect Gregory Quesnel For For Voted
Mgmt Elect Ann Vezina For For Voted
Mgmt Elect Thomas Wurster For For Voted
Mgmt Elect Duane E. Zitzner For For Voted
Mgmt Elect Andrea M. Zulberti For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Amendment to the 2013 Stock For For Voted
Incentive Plan
Mgmt Ratification of Auditor For For Voted
TiVo Corporation
--------------------------------------------------------------------------------
Ticker TIVO
Provider Security ID 88870P106
Meeting Date 09-May-18 Meeting Type Annual
Record Date 12-Mar-18
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Alan L. Earhart For For Voted
Mgmt Elect Eddy W. Hartenstein For For Voted
Mgmt Elect Jeffrey T. Hinson For For Voted
Mgmt Elect James E. Meyer For For Voted
Mgmt Elect Daniel Moloney For For Voted
Mgmt Elect Raghavendra Rau For For Voted
Mgmt Elect Enrique Rodriguez For For Voted
Mgmt Elect Glenn W. Welling For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Toll Brothers Inc.
--------------------------------------------------------------------------------
Ticker TOL
Provider Security ID 889478103
Meeting Date 13-Mar-18 Meeting Type Annual
Record Date 19-Jan-18
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Robert I. Toll For For Voted
Mgmt Elect Douglas C. Yearley, Jr. For For Voted
Mgmt Elect Edward G. Boehne For For Voted
Mgmt Elect Richard J. Braemer For For Voted
Mgmt Elect Christine N. Garvey For For Voted
Mgmt Elect Carl B. Marbach For For Voted
Mgmt Elect John A. McLean For For Voted
Mgmt Elect Stephen A. Novick For For Voted
Mgmt Elect Wendell E Prichett For For Voted
Mgmt Elect Paul E. Shapiro For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Trex Company, Inc.
--------------------------------------------------------------------------------
Ticker TREX
Provider Security ID 89531P105
Meeting Date 02-May-18 Meeting Type Annual
Record Date 05-Mar-18
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect James E. Cline For For Voted
Mgmt Elect Patricia B. Robinson For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Increase of Authorized Common Stock For Against Voted
Mgmt Ratification of Auditor For For Voted
- 9 -
Trinity Industries, Inc.
--------------------------------------------------------------------------------
Ticker TRN
Provider Security ID 896522109
Meeting Date 07-May-18 Meeting Type Annual
Record Date 12-Mar-18
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect John L. Adams For For Voted
Mgmt Elect Rhys J. Best For For Voted
Mgmt Elect David W. Biegler For For Voted
Mgmt Elect Antonio Carrillo For For Voted
Mgmt Elect Leldon E. Echols For For Voted
Mgmt Elect Ronald J. Gafford For For Voted
Mgmt Elect Charles W. Matthews For For Voted
Mgmt Elect Douglas L. Rock For For Voted
Mgmt Elect Dunia A. Shive For For Voted
Mgmt Elect Timothy R. Wallace For For Voted
Mgmt Advisory Vote on Executive For Against Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Valero Energy Corporation
--------------------------------------------------------------------------------
Ticker VLO
Provider Security ID 91913Y100
Meeting Date 03-May-18 Meeting Type Annual
Record Date 06-Mar-18
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect H. Paulett Eberhart For For Voted
Mgmt Elect Joseph W. Gorder For For Voted
Mgmt Elect Kimberly S. Greene For For Voted
Mgmt Elect Deborah P. Majoras For For Voted
Mgmt Elect Donald L. Nickles For For Voted
Mgmt Elect Philip J. Pfeiffer For For Voted
Mgmt Elect Robert A. Profusek For For Voted
Mgmt Elect Stephen M. Waters For For Voted
Mgmt Elect Randall J. Weisenburger For For Voted
Mgmt Elect Rayford Wilkins Jr. For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Elimination of Supermajority For For Voted
Requirement
Mgmt Approval of Shareholder Written For For Voted
Consent Right
Wabash National Corporation
--------------------------------------------------------------------------------
Ticker WNC
Provider Security ID 929566107
Meeting Date 16-May-18 Meeting Type Annual
Record Date 20-Mar-18
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Richard J. Giromini For For Voted
Mgmt Elect Martin C. Jischke For For Voted
Mgmt Elect John G. Boss For For Voted
Mgmt Elect John E. Kunz For For Voted
Mgmt Elect Larry J. Magee For For Voted
Mgmt Elect Ann D. Murtlow For For Voted
Mgmt Elect Scott K. Sorensen For For Voted
Mgmt Elect Brent L. Yeagy For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Ratification of Auditor For For Voted
Walker & Dunlop Inc.
--------------------------------------------------------------------------------
Ticker WD
Provider Security ID 93148P102
Meeting Date 10-May-18 Meeting Type Annual
Record Date 12-Mar-18
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Alan J. Bowers For For Voted
Mgmt Elect Cynthia A. Hallenbeck For For Voted
Mgmt Elect Michael D. Malone For For Voted
Mgmt Elect John Rice For For Voted
Mgmt Elect Dana L. Schmaltz For For Voted
Mgmt Elect Howard W. Smith III For For Voted
Mgmt Elect William M. Walker For For Voted
Mgmt Elect Michael J. Warren For For Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
- 10 -
WisdomTree Investments, Inc.
--------------------------------------------------------------------------------
Ticker WETF
Provider Security ID 97717P104
Meeting Date 19-Jun-18 Meeting Type Annual
Record Date 26-Apr-18
--------------------------------------------------------------------------------
MANAGEMENT VOTE
PROPONENT PROPOSAL TEXT RECOMMENDATION INSTRUCTION VOTED
Mgmt Elect Anthony Bossone For For Voted
Mgmt Elect Bruce Lavine For For Voted
Mgmt Elect Michael Steinhardt For Withhold Voted
Mgmt Ratification of Auditor For For Voted
Mgmt Issuance of Common Stock For For Voted
Mgmt Advisory Vote on Executive For For Voted
Compensation
Mgmt Frequency of Advisory Vote on Abstain 1 Year Voted
Executive Compensation
- 11 -
================= First Trust/Confluence Small Cap Value Fund ================
---------------------------------------------------------------------------------------------------------------------------
ONEBEACON INSURANCE GROUP, LTD.
---------------------------------------------------------------------------------------------------------------------------
SECURITY G67742109 MEETING TYPE Special
TICKER SYMBOL OB MEETING DATE 18-Jul-2017
ISIN BMG677421098 AGENDA 934649469 - Management
RECORD DATE 07-Jun-2017 HOLDING RECON DATE 07-Jun-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 17-Jul-2017
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Approve Reorganization Plan Management For For For
2. 14A Executive Compensation Management For For For
3. Approve Motion to Adjourn Meeting Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 22,020 0 15-Jun-2017 19-Jul-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
THERMON GROUP HOLDINGS, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 88362T103 MEETING TYPE Annual
TICKER SYMBOL THR MEETING DATE 26-Jul-2017
ISIN US88362T1034 AGENDA 934649293 - Management
RECORD DATE 01-Jun-2017 HOLDING RECON DATE 01-Jun-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 25-Jul-2017
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 MARCUS J. GEORGE For For For
2 RICHARD E. GOODRICH For For For
3 KEVIN J. MCGINTY For For For
4 JOHN T. NESSER, III For For For
5 MICHAEL W. PRESS For For For
6 STEPHEN A. SNIDER For For For
7 CHARLES A. SORRENTINO For For For
8 BRUCE A. THAMES For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Stock Compensation Plan Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 21,238 0 14-Jun-2017 27-Jul-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
HAEMONETICS CORPORATION
---------------------------------------------------------------------------------------------------------------------------
SECURITY 405024100 MEETING TYPE Annual
TICKER SYMBOL HAE MEETING DATE 27-Jul-2017
ISIN US4050241003 AGENDA 934649661 - Management
RECORD DATE 26-May-2017 HOLDING RECON DATE 26-May-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 26-Jul-2017
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 CHRISTOPHER SIMON For For For
2 CHARLES J. DOCKENDORFF For For For
2. 14A Executive Compensation Management For For For
3. 14A Executive Compensation Vote Management 1 Year 1 Year For
Frequency
4. S/H Proposal - Corporate Governance Shareholder Against Take No Action
5. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 5,315 0 15-Jun-2017 28-Jul-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
- 12 -
RBC BEARINGS INCORPORATED
---------------------------------------------------------------------------------------------------------------------------
SECURITY 75524B104 MEETING TYPE Annual
TICKER SYMBOL ROLL MEETING DATE 13-Sep-2017
ISIN US75524B1044 AGENDA 934663863 - Management
RECORD DATE 17-Jul-2017 HOLDING RECON DATE 17-Jul-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 12-Sep-2017
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 MITCHELL I. QUAIN* For For For
2 DR. MICHAEL J HARTNETT# For For For
3 DR. AMIR FAGHRI# For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. 14A Executive Compensation Vote Management 1 Year 3 Years Against
Frequency
5. Approve Charter Amendment Management For For For
6. 14A Executive Compensation Management For For For
7. Approve Stock Compensation Plan Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 3,336 0 01-Aug-2017 14-Sep-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
PATTERSON COMPANIES, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 703395103 MEETING TYPE Annual
TICKER SYMBOL PDCO MEETING DATE 18-Sep-2017
ISIN US7033951036 AGENDA 934665223 - Management
RECORD DATE 21-Jul-2017 HOLDING RECON DATE 21-Jul-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 15-Sep-2017
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. 14A Executive Compensation Vote Management 1 Year 1 Year For
Frequency
4. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 11,555 0 05-Aug-2017 19-Sep-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
CULP, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 230215105 MEETING TYPE Annual
TICKER SYMBOL CULP MEETING DATE 20-Sep-2017
ISIN US2302151053 AGENDA 934670806 - Management
RECORD DATE 20-Jul-2017 HOLDING RECON DATE 20-Jul-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 19-Sep-2017
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 ROBERT G. CULP, III For For For
2 PATRICK B. FLAVIN For For For
3 FRED A. JACKSON For For For
4 KENNETH R. LARSON For For For
5 KENNETH W. MCALLISTER For For For
6 FRANKLIN N. SAXON For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. 14A Executive Compensation Vote Management 1 Year 1 Year For
Frequency
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 10,993 0 22-Aug-2017 21-Sep-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
- 13 -
BIO-TECHNE CORP
---------------------------------------------------------------------------------------------------------------------------
SECURITY 09073M104 MEETING TYPE Annual
TICKER SYMBOL TECH MEETING DATE 26-Oct-2017
ISIN US09073M1045 AGENDA 934677216 - Management
RECORD DATE 01-Sep-2017 HOLDING RECON DATE 01-Sep-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 25-Oct-2017
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Fix Number of Directors Management For For For
2A. Election of Directors (Majority Voting) Management For For For
2B. Election of Directors (Majority Voting) Management For For For
2C. Election of Directors (Majority Voting) Management For For For
2D. Election of Directors (Majority Voting) Management For For For
2E. Election of Directors (Majority Voting) Management For For For
2F. Election of Directors (Majority Voting) Management For For For
2G. Election of Directors (Majority Voting) Management For For For
2H. Election of Directors (Majority Voting) Management For For For
2I. Election of Directors (Majority Voting) Management For For For
2J. Election of Directors (Majority Voting) Management For For For
3. 14A Executive Compensation Management For For For
4. 14A Executive Compensation Vote Management 1 Year 1 Year For
Frequency
5. Amend Stock Compensation Plan Management For For For
6. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 3,027 0 13-Sep-2017 27-Oct-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
THE ADVISORY BOARD COMPANY
---------------------------------------------------------------------------------------------------------------------------
SECURITY 00762W107 MEETING TYPE Special
TICKER SYMBOL ABCO MEETING DATE 15-Nov-2017
ISIN US00762W1071 AGENDA 934689792 - Management
RECORD DATE 05-Oct-2017 HOLDING RECON DATE 05-Oct-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 14-Nov-2017
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Approve Merger Agreement Management For For For
2. Approve Motion to Adjourn Meeting Management For For For
3. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 10,706 0 14-Oct-2017 16-Nov-2017
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
MTS SYSTEMS CORPORATION
---------------------------------------------------------------------------------------------------------------------------
SECURITY 553777103 MEETING TYPE Annual
TICKER SYMBOL MTSC MEETING DATE 13-Feb-2018
ISIN US5537771033 AGENDA 934716816 - Management
RECORD DATE 18-Dec-2017 HOLDING RECON DATE 18-Dec-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 12-Feb-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 DAVID J. ANDERSON For For For
2 JEFFREY A. GRAVES For For For
3 DAVID D. JOHNSON For For For
4 RANDY J. MARTINEZ For For For
5 MICHAEL V. SCHROCK For For For
6 GAIL P. STEINEL For For For
7 MAXIMILIANE C. STRAUB For For For
8 CHUN HUNG (KENNETH) YU For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 11,204 0 30-Dec-2017 14-Feb-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
VAREX IMAGING CORPORATION
---------------------------------------------------------------------------------------------------------------------------
SECURITY 92214X106 MEETING TYPE Annual
TICKER SYMBOL VREX MEETING DATE 15-Feb-2018
ISIN US92214X1063 AGENDA 934716830 - Management
RECORD DATE 18-Dec-2017 HOLDING RECON DATE 18-Dec-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 14-Feb-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 10,221 0 30-Dec-2017 16-Feb-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
- 14 -
SNYDER'S-LANCE, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 833551104 MEETING TYPE Special
TICKER SYMBOL LNCE MEETING DATE 23-Mar-2018
ISIN US8335511049 AGENDA 934731084 - Management
RECORD DATE 16-Feb-2018 HOLDING RECON DATE 16-Feb-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 22-Mar-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Approve Merger Agreement Management For For For
2. Approve Motion to Adjourn Meeting Management For For For
3. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 13,891 0 24-Feb-2018 26-Mar-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
THE RMR GROUP INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 74967R106 MEETING TYPE Annual
TICKER SYMBOL RMR MEETING DATE 28-Mar-2018
ISIN US74967R1068 AGENDA 934724368 - Management
RECORD DATE 17-Jan-2018 HOLDING RECON DATE 17-Jan-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 27-Mar-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1.1 Election of Directors (Majority Voting) Management For For For
1.2 Election of Directors (Majority Voting) Management For For For
1.3 Election of Directors (Majority Voting) Management For For For
1.4 Election of Directors (Majority Voting) Management For For For
1.5 Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 8,949 0 31-Jan-2018 29-Mar-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
ASTEC INDUSTRIES, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 046224101 MEETING TYPE Annual
TICKER SYMBOL ASTE MEETING DATE 26-Apr-2018
ISIN US0462241011 AGENDA 934736844 - Management
RECORD DATE 20-Feb-2018 HOLDING RECON DATE 20-Feb-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 25-Apr-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Daniel K. Frierson For For For
2 Glen E. Tellock For For For
3 James B. Baker For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 8,644 0 13-Mar-2018 27-Apr-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
HALYARD HEALTH, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 40650V100 MEETING TYPE Annual
TICKER SYMBOL HYH MEETING DATE 26-Apr-2018
ISIN US40650V1008 AGENDA 934736870 - Management
RECORD DATE 02-Mar-2018 HOLDING RECON DATE 02-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 25-Apr-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 13,364 0 10-Mar-2018 27-Apr-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
- 15 -
CAMBREX CORPORATION
---------------------------------------------------------------------------------------------------------------------------
SECURITY 132011107 MEETING TYPE Annual
TICKER SYMBOL CBM MEETING DATE 26-Apr-2018
ISIN US1320111073 AGENDA 934739751 - Management
RECORD DATE 01-Mar-2018 HOLDING RECON DATE 01-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 25-Apr-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1.1 Election of Directors (Majority Voting) Management For For For
1.2 Election of Directors (Majority Voting) Management For For For
1.3 Election of Directors (Majority Voting) Management For For For
1.4 Election of Directors (Majority Voting) Management For For For
1.5 Election of Directors (Majority Voting) Management For For For
1.6 Election of Directors (Majority Voting) Management For For For
1.7 Election of Directors (Majority Voting) Management For For For
1.8 Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
4. S/H Proposal - Environmental Shareholder Against Against For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 10,219 0 17-Mar-2018 27-Apr-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
GRACO INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 384109104 MEETING TYPE Annual
TICKER SYMBOL GGG MEETING DATE 27-Apr-2018
ISIN US3841091040 AGENDA 934740083 - Management
RECORD DATE 26-Feb-2018 HOLDING RECON DATE 26-Feb-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 26-Apr-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 4,050 0 15-Mar-2018 30-Apr-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
BROWN & BROWN, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 115236101 MEETING TYPE Annual
TICKER SYMBOL BRO MEETING DATE 02-May-2018
ISIN US1152361010 AGENDA 934750111 - Management
RECORD DATE 26-Feb-2018 HOLDING RECON DATE 26-Feb-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 01-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 J. Hyatt Brown For For For
2 Samuel P. Bell, III For For For
3 Hugh M. Brown For For For
4 J. Powell Brown For For For
5 Bradley Currey, Jr. For For For
6 Theodore J. Hoepner For For For
7 James S. Hunt For For For
8 Toni Jennings For For For
9 Timothy R.M. Main For For For
10 H. Palmer Proctor, Jr. For For For
11 Wendell S. Reilly For For For
12 Chilton D. Varner For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Stock Compensation Plan Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 9,745 0 24-Mar-2018 03-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
ALLIED MOTION TECHNOLOGIES INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 019330109 MEETING TYPE Annual
TICKER SYMBOL AMOT MEETING DATE 02-May-2018
ISIN US0193301092 AGENDA 934774123 - Management
RECORD DATE 13-Mar-2018 HOLDING RECON DATE 13-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 01-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
----------------------------------------------------------------------------------------------------------------- --
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 16,688 0 06-Apr-2018 03-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
- 16 -
GLADSTONE COMMERCIAL CORPORATION
---------------------------------------------------------------------------------------------------------------------------
SECURITY 376536108 MEETING TYPE Annual
TICKER SYMBOL GOOD MEETING DATE 03-May-2018
ISIN US3765361080 AGENDA 934739054 - Management
RECORD DATE 05-Mar-2018 HOLDING RECON DATE 05-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 02-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Terry L. Brubaker For For For
2 Caren D. Merrick For For For
3 Walter H Wilkinson, Jr. For For For
2. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 29,008 0 20-Mar-2018 04-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
MONOTYPE IMAGING HOLDINGS INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 61022P100 MEETING TYPE Annual
TICKER SYMBOL TYPE MEETING DATE 03-May-2018
ISIN US61022P1003 AGENDA 934777612 - Management
RECORD DATE 26-Mar-2018 HOLDING RECON DATE 26-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 02-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1.1 Election of Directors (Majority Voting) Management For For For
1.2 Election of Directors (Majority Voting) Management For For For
1.3 Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 26,964 0 07-Apr-2018 04-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
FRANKLIN ELECTRIC CO., INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 353514102 MEETING TYPE Annual
TICKER SYMBOL FELE MEETING DATE 04-May-2018
ISIN US3535141028 AGENDA 934741871 - Management
RECORD DATE 02-Mar-2018 HOLDING RECON DATE 02-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 03-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1a. Election of Directors (Majority Voting) Management For For For
1b. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 3,833 0 24-Mar-2018 07-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
JOHN BEAN TECHNOLOGIES CORPORATION
---------------------------------------------------------------------------------------------------------------------------
SECURITY 477839104 MEETING TYPE Annual
TICKER SYMBOL JBT MEETING DATE 11-May-2018
ISIN US4778391049 AGENDA 934749005 - Management
RECORD DATE 15-Mar-2018 HOLDING RECON DATE 15-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 10-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1A Election of Directors (Majority Voting) Management For For For
1B Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 3,436 0 30-Mar-2018 14-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
- 17 -
FORWARD AIR CORPORATION
---------------------------------------------------------------------------------------------------------------------------
SECURITY 349853101 MEETING TYPE Annual
TICKER SYMBOL FWRD MEETING DATE 15-May-2018
ISIN US3498531017 AGENDA 934755577 - Management
RECORD DATE 16-Mar-2018 HOLDING RECON DATE 16-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 14-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Ronald W. Allen For For For
2 Ana B. Amicarella For For For
3 Valerie A. Bonebrake For For For
4 Bruce A. Campbell For For For
5 C. Robert Campbell For For For
6 R. Craig Carlock For For For
7 C. John Langley, Jr. For For For
8 G. Michael Lynch For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 10,022 0 06-Apr-2018 16-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
VERITEX HOLDINGS INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 923451108 MEETING TYPE Annual
TICKER SYMBOL VBTX MEETING DATE 15-May-2018
ISIN US9234511080 AGENDA 934783057 - Management
RECORD DATE 26-Mar-2018 HOLDING RECON DATE 26-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 14-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 C. Malcolm Holland, III For For For
2 William C. Murphy For For For
3 Pat S. Bolin For For For
4 April Box For For For
5 Blake Bozman For For For
6 Ned N. Fleming, III For For For
7 Mark C. Griege For For For
8 Gordon Huddleston For For For
9 Gregory B. Morrison For For For
10 John T. Sughrue For For For
2. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 21,369 0 11-Apr-2018 16-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
INNOPHOS HOLDINGS, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 45774N108 MEETING TYPE Annual
TICKER SYMBOL IPHS MEETING DATE 15-May-2018
ISIN US45774N1081 AGENDA 934793301 - Management
RECORD DATE 20-Mar-2018 HOLDING RECON DATE 20-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 14-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1.1 Election of Directors (Majority Voting) Management For For For
1.2 Election of Directors (Majority Voting) Management For For For
1.3 Election of Directors (Majority Voting) Management For For For
1.4 Election of Directors (Majority Voting) Management For For For
1.5 Election of Directors (Majority Voting) Management For For For
1.6 Election of Directors (Majority Voting) Management For For For
1.7 Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
4. Approve Stock Compensation Plan Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 13,690 0 18-Apr-2018 16-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
THE BOSTON BEER COMPANY, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 100557107 MEETING TYPE Annual
TICKER SYMBOL SAM MEETING DATE 17-May-2018
ISIN US1005571070 AGENDA 934758523 - Management
RECORD DATE 19-Mar-2018 HOLDING RECON DATE 19-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Michael Spillane For For For
2 Gregg A. Tanner For For For
3 Jean-Michel Valette For For For
2. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 4,272 0 07-Apr-2018 18-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
- 18 -
RAYONIER INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 754907103 MEETING TYPE Annual
TICKER SYMBOL RYN MEETING DATE 17-May-2018
ISIN US7549071030 AGENDA 934765441 - Management
RECORD DATE 16-Mar-2018 HOLDING RECON DATE 16-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1A. Election of Directors (Majority Voting) Management For For For
1B. Election of Directors (Majority Voting) Management For For For
1C. Election of Directors (Majority Voting) Management For For For
1D. Election of Directors (Majority Voting) Management For For For
1E. Election of Directors (Majority Voting) Management For For For
1F. Election of Directors (Majority Voting) Management For For For
1G. Election of Directors (Majority Voting) Management For For For
1H. Election of Directors (Majority Voting) Management For For For
1I. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 19,288 0 03-Apr-2018 18-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
MORNINGSTAR, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 617700109 MEETING TYPE Annual
TICKER SYMBOL MORN MEETING DATE 18-May-2018
ISIN US6177001095 AGENDA 934752141 - Management
RECORD DATE 19-Mar-2018 HOLDING RECON DATE 19-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 17-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1a. Election of Directors (Majority Voting) Management For For For
1b. Election of Directors (Majority Voting) Management For For For
1c. Election of Directors (Majority Voting) Management For For For
1d. Election of Directors (Majority Voting) Management For For For
1e. Election of Directors (Majority Voting) Management For For For
1f. Election of Directors (Majority Voting) Management For For For
1g. Election of Directors (Majority Voting) Management For For For
1h. Election of Directors (Majority Voting) Management For For For
1i. Election of Directors (Majority Voting) Management For For For
1j. Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 6,892 0 07-Apr-2018 21-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
RAVEN INDUSTRIES, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 754212108 MEETING TYPE Annual
TICKER SYMBOL RAVN MEETING DATE 22-May-2018
ISIN US7542121089 AGENDA 934777686 - Management
RECORD DATE 28-Mar-2018 HOLDING RECON DATE 28-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 21-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Jason M. Andringa For For For
2 David L. Chicoine For For For
3 Thomas S. Everist For For For
4 Kevin T. Kirby For For For
5 Marc E. LeBaron For For For
6 Richard W. Parod For For For
7 Daniel A. Rykhus For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 13,405 0 07-Apr-2018 23-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
- 19 -
BANK OF MARIN BANCORP
---------------------------------------------------------------------------------------------------------------------------
SECURITY 063425102 MEETING TYPE Annual
TICKER SYMBOL BMRC MEETING DATE 22-May-2018
ISIN US0634251021 AGENDA 934795470 - Management
RECORD DATE 02-Apr-2018 HOLDING RECON DATE 02-Apr-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 21-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Steven I. Barlow For For For
2 Russell A. Colombo For For For
3 James C. Hale For For For
4 Robert Heller For For For
5 Norma J. Howard For For For
6 Kevin R. Kennedy For For For
7 William H. McDevitt Jr. For For For
8 Leslie E. Murphy For For For
9 Joel Sklar, MD For For For
10 Brian M. Sobel For For For
2. 14A Executive Compensation Management For For For
3. Adopt Employee Stock Purchase Plan Management For For For
4. Amend Stock Compensation Plan Management For For For
5. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 7,934 0 19-Apr-2018 23-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
GARTNER, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 366651107 MEETING TYPE Annual
TICKER SYMBOL IT MEETING DATE 24-May-2018
ISIN US3666511072 AGENDA 934777028 - Management
RECORD DATE 29-Mar-2018 HOLDING RECON DATE 29-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1a. Election of Directors (Majority Voting) Management For For For
1b. Election of Directors (Majority Voting) Management For For For
1c. Election of Directors (Majority Voting) Management For For For
1d. Election of Directors (Majority Voting) Management For For For
1e. Election of Directors (Majority Voting) Management For For For
1f. Election of Directors (Majority Voting) Management For For For
1g. Election of Directors (Majority Voting) Management For For For
1h. Election of Directors (Majority Voting) Management For For For
1i. Election of Directors (Majority Voting) Management For For For
1j. Election of Directors (Majority Voting) Management For For For
1k. Election of Directors (Majority Voting) Management For For For
2. 14A Executive Compensation Management For For For
3. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 1,272 0 11-Apr-2018 25-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
RE/MAX HOLDINGS, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 75524W108 MEETING TYPE Annual
TICKER SYMBOL RMAX MEETING DATE 24-May-2018
ISIN US75524W1080 AGENDA 934780746 - Management
RECORD DATE 23-Mar-2018 HOLDING RECON DATE 23-Mar-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Gail Liniger For For For
2 Kathleen Cunningham For For For
3 Christine Riordan For For For
2. Ratify Appointment of Independent Auditors Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 10,893 0 13-Apr-2018 25-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
- 20 -
POTBELLY CORPORATION
---------------------------------------------------------------------------------------------------------------------------
SECURITY 73754Y100 MEETING TYPE Annual
TICKER SYMBOL PBPB MEETING DATE 24-May-2018
ISIN US73754Y1001 AGENDA 934801754 - Management
RECORD DATE 12-Apr-2018 HOLDING RECON DATE 12-Apr-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Pete Bassi For For For
2 Joseph Boehm For For For
3 Ann-Marie Campbell For For For
4 Susan Chapman-Hughes For For For
5 Sue Collyns For For For
6 Dan Ginsberg For For For
7 Marla Gottschalk For For For
8 Alan Johnson For For For
9 Harvey Kanter For For For
10 Benjamin Rosenzweig For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. Amend Stock Compensation Plan Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 45,153 0 24-Apr-2018 25-May-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
EXPONENT, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 30214U102 MEETING TYPE Annual
TICKER SYMBOL EXPO MEETING DATE 31-May-2018
ISIN US30214U1025 AGENDA 934790228 - Management
RECORD DATE 03-Apr-2018 HOLDING RECON DATE 03-Apr-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 30-May-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1.1 Election of Directors (Majority Voting) Management For For For
1.2 Election of Directors (Majority Voting) Management For For For
1.3 Election of Directors (Majority Voting) Management For For For
1.4 Election of Directors (Majority Voting) Management For For For
1.5 Election of Directors (Majority Voting) Management For For For
1.6 Election of Directors (Majority Voting) Management For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. Authorize Common Stock Increase Management For For For
4. Approve Reverse Stock Split Management For For For
5. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 2,198 0 18-Apr-2018 01-Jun-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
MOVADO GROUP, INC.
---------------------------------------------------------------------------------------------------------------------------
SECURITY 624580106 MEETING TYPE Annual
TICKER SYMBOL MOV MEETING DATE 21-Jun-2018
ISIN US6245801062 AGENDA 934818747 - Management
RECORD DATE 01-May-2018 HOLDING RECON DATE 01-May-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 20-Jun-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Margaret Hayes Adame For For For
2 Peter A. Bridgman For For For
3 Richard Cote For For For
4 Alex Grinberg For For For
5 Efraim Grinberg For For For
6 Alan H. Howard For For For
7 Richard Isserman For For For
8 Nathan Leventhal For For For
9 Maurice Reznik For For For
2. Ratify Appointment of Independent Auditors Management For For For
3. 14A Executive Compensation Management For For For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 19,174 0 11-May-2018 22-Jun-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
- 21 -
NATUS MEDICAL INCORPORATED
---------------------------------------------------------------------------------------------------------------------------
SECURITY 639050103 MEETING TYPE Contested-Annual
TICKER SYMBOL BABY MEETING DATE 22-Jun-2018
ISIN US6390501038 AGENDA 934831656 - Management
RECORD DATE 07-May-2018 HOLDING RECON DATE 07-May-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 21-Jun-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Doris E. Engibous For
2 Robert S. Weiss For
2. Ratify Appointment of Independent Auditors Management For
3. 14A Executive Compensation Management For
4. S/H Proposal - Corporate Governance Shareholder Against
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 16,269 0
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
8012312 FIRST 8012312 BROWN 16,269 0
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
---------------------------------------------------------------------------------------------------------------------------
NATUS MEDICAL INCORPORATED
---------------------------------------------------------------------------------------------------------------------------
SECURITY 639050103 MEETING TYPE Contested-Annual
TICKER SYMBOL BABY MEETING DATE 22-Jun-2018
ISIN US6390501038 AGENDA 934832216 - Opposition
RECORD DATE 07-May-2018 HOLDING RECON DATE 07-May-2018
CITY / COUNTRY / United VOTE DEADLINE DATE 21-Jun-2018
States
SEDOL(S) QUICK CODE
---------------------------------------------------------------------------------------------------------------------------
ITEM PROPOSAL PROPOSED VOTE MANAGEMENT FOR/AGAINST
BY RECOMMENDATION MANAGEMENT
---------------------------------------------------------------------------------------------------------------------------
1. Election of Directors Management
1 Lisa Wipperman Heine For For For
2 Joshua H. Levine For For For
2. Director Removal Without Cause Management For For For
3. Director Removal Without Cause Management For For For
4. Amend Articles-Board Related Management For For For
5. Ratify Appointment of Independent Auditors Management For For For
6. 14A Executive Compensation Management Against Against For
---------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES SHARES CONFIRMED
---------------------------------------------------------------------------------------------------------------------------
8012312 FIRST 8012312 BROWN 16,269 0 31-May-2018 25-Jun-2018
TRUST/CONFLUENCE BROTHERS
SM CP V HARRIMAN & CO.
- 22 -
============== First Trust Preferred Securities and Income ETF ===============
AG INSURANCE SA
--------------------------------------------------------------------------------
Ticker
Primary CUSIP B0R399AA2
Meeting Date Apr 20, 2018
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MEETING PROPOSAL MANAGEMENT VOTE AGAINST
TYPE PROPONENT TEXT RECOMMENDATION VOTED MANAGEMENT
Annual Management Ordinary General Meeting Abstain
AG INSURANCE SA
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Ticker
Primary CUSIP B0R399AA2
Meeting Date May 24, 2018
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MEETING PROPOSAL MANAGEMENT VOTE AGAINST
TYPE PROPONENT TEXT RECOMMENDATION VOTED MANAGEMENT
Annual Management Proposal of Merger Abstain
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SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
(Registrant) First Trust Series Fund
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By (Signature and Title)* /s/ James M. Dykas
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James M. Dykas, President and
Chief Executive Officer
Date August 3, 2018
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* Print the name and title of each signing officer under his or her signature.