UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File No. 811-22559
First Trust Exchange-Traded Fund IV
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Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
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Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: October 31
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Date of reporting period: July 1, 2019 - June 30, 2020
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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 North American Energy Infrastructure Fund ============
Emera Incorporated
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Ticker EMA
Primary CUSIP 290876101
Meeting Date 07/11/2019
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Amend Articles Re: Removal of 25 Percent Restrictions Relating to Share For No No
Ownership and Voting Rights by Non-Canadian Resident Shareholder
Management The Undersigned Hereby Certifies that the Shares Represented by this Proxy Do Not Vote No No
are Owned and Controlled by a Canadian. Vote FOR = Yes and ABSTAIN = No. A
Vote Against will be treated as not voted.
New Jersey Resources Corporation
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Ticker NJR
Primary CUSIP 646025106
Meeting Date 01/22/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director James H. DeGraffenreidt, Jr. For Yes No
Management Elect Director Gregory E. Aliff For Yes No
Management Elect Director Stephen D. Westhoven For Yes No
Management Elect Director Jane M. Kenny For Yes No
Management Elect Director Sharon C. Taylor For Yes No
Management Elect Director David A. Trice For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Atmos Energy Corporation
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Ticker ATO
Primary CUSIP 049560105
Meeting Date 02/05/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director J. Kevin Akers For Yes No
Management Elect Director Robert W. Best For Yes No
Management Elect Director Kim R. Cocklin For Yes No
Management Elect Director Kelly H. Compton For Yes No
Management Elect Director Sean Donohue For Yes No
Management Elect Director Rafael G. Garza For Yes No
Management Elect Director Richard K. Gordon For Yes No
Management Elect Director Robert C. Grable For Yes No
Management Elect Director Nancy K. Quinn For Yes No
Management Elect Director Richard A. Sampson For Yes No
Management Elect Director Stephen R. Springer For Yes No
Management Elect Director Diana J. Walters For Yes No
Management Elect Director Richard Ware, II For Yes No
Management Ratify Ernst & Young LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
American Electric Power Company, Inc.
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Ticker AEP
Primary CUSIP 025537101
Meeting Date 04/21/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Nicholas K. Akins For Yes No
Management Elect Director David J. Anderson For Yes No
Management Elect Director J. Barnie Beasley, Jr. For Yes No
Management Elect Director Ralph D. Crosby, Jr. For Yes No
Management Elect Director Art A. Garcia For Yes No
Management Elect Director Linda A. Goodspeed For Yes No
Management Elect Director Thomas E. Hoaglin For Yes No
Management Elect Director Sandra Beach Lin For Yes No
Management Elect Director Margaret M. McCarthy For Yes No
Management Elect Director Richard C. Notebaert For Yes No
Management Elect Director Stephen S. Rasmussen For Yes No
Management Elect Director Oliver G. Richard, III For Yes No
Management Elect Director Sara Martinez Tucker For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
NextEra Energy Partners, LP
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Ticker NEP
Primary CUSIP 65341B106
Meeting Date 04/21/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Susan D. Austin For Yes No
Management Elect Director Robert J. Byrne For Yes No
Management Elect Director Peter H. Kind For Yes No
Management Elect Director James L. Robo For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
- 1 -
Public Service Enterprise Group Incorporated
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Ticker PEG
Primary CUSIP 744573106
Meeting Date 04/21/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Ralph Izzo For Yes No
Management Elect Director Shirley Ann Jackson For Yes No
Management Elect Director Willie A. Deese For Yes No
Management Elect Director David Lilley For Yes No
Management Elect Director Barry H. Ostrowsky For Yes No
Management Elect Director Scott G. Stephenson For Yes No
Management Elect Director Laura A. Sugg For Yes No
Management Elect Director John P. Surma For Yes No
Management Elect Director Susan Tomasky For Yes No
Management Elect Director Alfred W. Zollar For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Magellan Midstream Partners, L.P.
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Ticker MMP
Primary CUSIP 559080106
Meeting Date 04/23/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Chansoo Joung For Yes No
Management Elect Director Michael N. Mears For Yes No
Management Elect Director James R. Montague For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Ernst & Young LLP as Auditors For Yes No
Exelon Corporation
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Ticker EXC
Primary CUSIP 30161N101
Meeting Date 04/28/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Anthony Anderson For Yes No
Management Elect Director Ann Berzin For Yes No
Management Elect Director Laurie Brlas For Yes No
Management Elect Director Christopher M. Crane For Yes No
Management Elect Director Yves C. de Balmann For Yes No
Management Elect Director Nicholas DeBenedictis For Yes No
Management Elect Director Linda P. Jojo For Yes No
Management Elect Director Paul Joskow For Yes No
Management Elect Director Robert J. Lawless For Yes No
Management Elect Director John Richardson For Yes No
Management Elect Director Mayo Shattuck, III For Yes No
Management Elect Director John F. Young For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Approve Omnibus Stock Plan For Yes No
The Williams Companies, Inc.
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Ticker WMB
Primary CUSIP 969457100
Meeting Date 04/28/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Alan S. Armstrong For Yes No
Management Elect Director Stephen W. Bergstrom Against Yes Yes
Management Elect Director Nancy K. Buese For Yes No
Management Elect Director Stephen I. Chazen For Yes No
Management Elect Director Charles I. Cogut For Yes No
Management Elect Director Michael A. Creel For Yes No
Management Elect Director Vicki L. Fuller For Yes No
Management Elect Director Peter A. Ragauss For Yes No
Management Elect Director Scott D. Sheffield For Yes No
Management Elect Director Murray D. Smith For Yes No
Management Elect Director William H. Spence For Yes No
Management Amend Omnibus Stock Plan For Yes No
Management Amend Qualified Employee Stock Purchase Plan For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Ernst & Young LLP as Auditors For Yes No
CMS Energy Corporation
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Ticker CMS
Primary CUSIP 125896100
Meeting Date 05/01/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Jon E. Barfield For Yes No
Management Elect Director Deborah H. Butler For Yes No
Management Elect Director Kurt L. Darrow For Yes No
Management Elect Director William D. Harvey For Yes No
Management Elect Director Patricia K. Poppe For Yes No
Management Elect Director John G. Russell For Yes No
Management Elect Director Suzanne F. Shank For Yes No
Management Elect Director Myrna M. Soto For Yes No
Management Elect Director John G. Sznewajs For Yes No
Management Elect Director Ronald J. Tanski For Yes No
Management Elect Director Laura H. Wright For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Management Approve Omnibus Stock Plan For Yes No
Share Holder Report on Political Contributions For Yes Yes
- 2 -
TC Energy Corporation
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Ticker TRP
Primary CUSIP 87807B107
Meeting Date 05/01/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Stephan Cretier For Yes No
Management Elect Director Michael R. Culbert For Yes No
Management Elect Director Russell K. Girling For Yes No
Management Elect Director Susan C. Jones For Yes No
Management Elect Director Randy Limbacher For Yes No
Management Elect Director John E. Lowe For Yes No
Management Elect Director David MacNaughton For Yes No
Management Elect Director Una Power For Yes No
Management Elect Director Mary Pat Salomone For Yes No
Management Elect Director Indira V. Samarasekera For Yes No
Management Elect Director D. Michael G. Stewart For Yes No
Management Elect Director Siim A. Vanaselja For Yes No
Management Elect Director Thierry Vandal For Yes No
Management Elect Director Steven W. Williams For Yes No
Management Approve KPMG LLP as Auditors and Authorize Board to Fix Their Remuneration For Yes No
Management Advisory Vote on Executive Compensation Approach For Yes No
Enbridge Inc.
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Ticker ENB
Primary CUSIP 29250N105
Meeting Date 05/05/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Pamela L. Carter For Yes No
Management Elect Director Marcel R. Coutu For Yes No
Management Elect Director Susan M. Cunningham For Yes No
Management Elect Director Gregory L. Ebel For Yes No
Management Elect Director J. Herb England For Yes No
Management Elect Director Charles W. Fischer For Yes No
Management Elect Director Gregory J. Goff For Yes No
Management Elect Director V. Maureen Kempston Darkes For Yes No
Management Elect Director Teresa S. Madden For Yes No
Management Elect Director Al Monaco For Yes No
Management Elect Director Dan C. Tutcher For Yes No
Management Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix For Yes No
Their Remuneration
Management Approve Shareholder Rights Plan For Yes No
Management Amend By-Law No. 1 of Enbridge For Yes No
Management Advisory Vote on Executive Compensation Approach For Yes No
Sempra Energy
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Ticker SRE
Primary CUSIP 816851109
Meeting Date 05/05/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Alan L. Boeckmann For Yes No
Management Elect Director Kathleen L. Brown For Yes No
Management Elect Director Andres Conesa For Yes No
Management Elect Director Maria Contreras-Sweet For Yes No
Management Elect Director Pablo A. Ferrero For Yes No
Management Elect Director William D. Jones For Yes No
Management Elect Director Jeffrey W. Martin For Yes No
Management Elect Director Bethany J. Mayer For Yes No
Management Elect Director Michael N. Mears For Yes No
Management Elect Director Jack T. Taylor For Yes No
Management Elect Director Cynthia L. Walker For Yes No
Management Elect Director Cynthia J. Warner For Yes No
Management Elect Director James C. Yardley For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Share Holder Require Independent Board Chair Against Yes No
Dominion Energy, Inc.
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Ticker D
Primary CUSIP 25746U109
Meeting Date 05/06/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director James A. Bennett For Yes No
Management Elect Director Helen E. Dragas For Yes No
Management Elect Director James O. Ellis, Jr. For Yes No
Management Elect Director Thomas F. Farrell, II For Yes No
Management Elect Director D. Maybank Hagood For Yes No
Management Elect Director John W. Harris For Yes No
Management Elect Director Ronald W. Jibson For Yes No
Management Elect Director Mark J. Kington For Yes No
Management Elect Director Joseph M. Rigby For Yes No
Management Elect Director Pamela J. Royal For Yes No
Management Elect Director Robert H. Spilman, Jr. For Yes No
Management Elect Director Susan N. Story For Yes No
Management Elect Director Michael E. Szymanczyk For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Share Holder Require Independent Board Chairman For Yes Yes
Share Holder Provide Right to Act by Written Consent For Yes Yes
- 3 -
Eversource Energy
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Ticker ES
Primary CUSIP 30040W108
Meeting Date 05/06/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Cotton M. Cleveland For Yes No
Management Elect Director James S. DiStasio For Yes No
Management Elect Director Francis A. Doyle For Yes No
Management Elect Director Linda Dorcena Forry For Yes No
Management Elect Director James J. Judge For Yes No
Management Elect Director John Y. Kim For Yes No
Management Elect Director Kenneth R. Leibler For Yes No
Management Elect Director David H. Long For Yes No
Management Elect Director William C. Van Faasen For Yes No
Management Elect Director Frederica M. Williams For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
WEC Energy Group, Inc.
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Ticker WEC
Primary CUSIP 92939U106
Meeting Date 05/06/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Patricia W. Chadwick For Yes No
Management Elect Director Curt S. Culver For Yes No
Management Elect Director Danny L. Cunningham For Yes No
Management Elect Director William M. Farrow, III For Yes No
Management Elect Director Thomas J. Fischer For Yes No
Management Elect Director J. Kevin Fletcher For Yes No
Management Elect Director Maria C. Green For Yes No
Management Elect Director Gale E. Klappa For Yes No
Management Elect Director Henry W. Knueppel For Yes No
Management Elect Director Thomas K. Lane For Yes No
Management Elect Director Ulice Payne, Jr. For Yes No
Management Elect Director Mary Ellen Stanek For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Chesapeake Utilities Corporation
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Ticker CPK
Primary CUSIP 165303108
Meeting Date 05/07/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Lila A. Jaber For Yes No
Management Elect Director Thomas J. Bresnan For Yes No
Management Elect Director Ronald G. Forsythe, Jr. For Yes No
Management Elect Director Dianna F. Morgan For Yes No
Management Elect Director John R. Schimkaitis For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Baker Tilly Virchow Krause, LLP as Auditors For Yes No
Duke Energy Corporation
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Ticker DUK
Primary CUSIP 26441C204
Meeting Date 05/07/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Michael G. Browning For Yes No
Management Elect Director Annette K. Clayton For Yes No
Management Elect Director Theodore F. Craver, Jr. For Yes No
Management Elect Director Robert M. Davis For Yes No
Management Elect Director Daniel R. DiMicco For Yes No
Management Elect Director Nicholas C. Fanandakis For Yes No
Management Elect Director Lynn J. Good For Yes No
Management Elect Director John T. Herron For Yes No
Management Elect Director William E. Kennard For Yes No
Management Elect Director E. Marie McKee For Yes No
Management Elect Director Marya M. Rose For Yes No
Management Elect Director Thomas E. Skains For Yes No
Management Elect Director William E. Webster, Jr. For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Share Holder Require Independent Board Chairman For Yes Yes
Share Holder Eliminate Supermajority Vote Requirement For Yes No
Share Holder Report on Political Contributions For Yes Yes
Share Holder Report on Lobbying Payments and Policy For Yes Yes
- 4 -
Fortis Inc.
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Ticker FTS
Primary CUSIP 349553107
Meeting Date 05/07/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Tracey C. Ball For Yes No
Management Elect Director Pierre J. Blouin For Yes No
Management Elect Director Paul J. Bonavia For Yes No
Management Elect Director Lawrence T. Borgard For Yes No
Management Elect Director Maura J. Clark For Yes No
Management Elect Director Margarita K. Dilley For Yes No
Management Elect Director Julie A. Dobson For Yes No
Management Elect Director Douglas J. Haughey For Yes No
Management Elect Director Barry V. Perry For Yes No
Management Elect Director Jo Mark Zurel For Yes No
Management Approve Deloitte LLP as Auditors and Authorize Board to Fix Their For Yes No
Remuneration
Management Approve Advance Notice Requirement For Yes No
Management Advisory Vote on Executive Compensation Approach For Yes No
Inter Pipeline Ltd.
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Ticker IPL
Primary CUSIP 45833V109
Meeting Date 05/07/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Richard Shaw For Yes No
Management Elect Director Christian Bayle For Yes No
Management Elect Director Peter Cella For Yes No
Management Elect Director Julie Dill For Yes No
Management Elect Director Duane Keinick For Yes No
Management Elect Director Arthur Korpach For Yes No
Management Elect Director Alison Taylor Love For Yes No
Management Elect Director Margaret McKenzie For Yes No
Management Elect Director Brant Sangster For Yes No
Management Elect Director Shelley Brown For Yes No
Management Elect Director Wayne Smith For Yes No
Management Approve Ernst & Young LLP as Auditors and Authorize Board to Fix Their For Yes No
Remuneration
Management Advisory Vote on Executive Compensation Approach For Yes No
Management Approve Shareholder Rights Plan For Yes No
Management Approve Reduction in Stated Capital For Yes No
Hydro One Limited
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Ticker H
Primary CUSIP 448811208
Meeting Date 05/08/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Cherie Brant For Yes No
Management Elect Director Blair Cowper-Smith For Yes No
Management Elect Director David Hay For Yes No
Management Elect Director Timothy Hodgson For Yes No
Management Elect Director Jessica McDonald For Yes No
Management Elect Director Mark Poweska For Yes No
Management Elect Director Russel Robertson For Yes No
Management Elect Director William Sheffield For Yes No
Management Elect Director Melissa Sonberg For Yes No
Management Elect Director Susan Wolburgh Jenah For Yes No
Management Approve KPMG LLP as Auditors and Authorize Board to Fix Their Remuneration For Yes No
Management Advisory Vote on Executive Compensation Approach For Yes No
Keyera Corp.
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Ticker KEY
Primary CUSIP 493271100
Meeting Date 05/12/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Ratify Deloitte LLP as Auditors For Yes No
Management Elect Director James Bertram For Yes No
Management Elect Director Blair Goertzen For Yes No
Management Elect Director Douglas Haughey For Yes No
Management Elect Director Gianna Manes For Yes No
Management Elect Director Donald Nelson For Yes No
Management Elect Director Michael Norris For Yes No
Management Elect Director Thomas O'Connor For Yes No
Management Elect Director Charlene Ripley For Yes No
Management Elect Director David Smith For Yes No
Management Elect Director Janet Woodruff For Yes No
Management Approve Shareholder Rights Plan For Yes No
Management Advisory Vote on Executive Compensation Approach For Yes No
- 5 -
American Water Works Company, Inc.
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Ticker AWK
Primary CUSIP 030420103
Meeting Date 05/13/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Jeffrey N. Edwards For Yes No
Management Elect Director Martha Clark Goss For Yes No
Management Elect Director Veronica M. Hagen For Yes No
Management Elect Director Kimberly J. Harris For Yes No
Management Elect Director Julia L. Johnson For Yes No
Management Elect Director Patricia L. Kampling For Yes No
Management Elect Director Karl F. Kurz For Yes No
Management Elect Director Walter J. Lynch For Yes No
Management Elect Director George MacKenzie For Yes No
Management Elect Director James G. Stavridis For Yes No
Management Elect Director Lloyd M. Yates For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Kinder Morgan, Inc.
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Ticker KMI
Primary CUSIP 49456B101
Meeting Date 05/13/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Richard D. Kinder For Yes No
Management Elect Director Steven J. Kean For Yes No
Management Elect Director Kimberly A. Dang For Yes No
Management Elect Director Ted A. Gardner For Yes No
Management Elect Director Anthony W. Hall, Jr. For Yes No
Management Elect Director Gary L. Hultquist For Yes No
Management Elect Director Ronald L. Kuehn, Jr. For Yes No
Management Elect Director Deborah A. Macdonald For Yes No
Management Elect Director Michael C. Morgan For Yes No
Management Elect Director Arthur C. Reichstetter For Yes No
Management Elect Director Fayez Sarofim For Yes No
Management Elect Director C. Park Shaper For Yes No
Management Elect Director William A. Smith For Yes No
Management Elect Director Joel V. Staff For Yes No
Management Elect Director Robert F. Vagt For Yes No
Management Elect Director Perry M. Waughtal For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
PPL Corporation
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Ticker PPL
Primary CUSIP 69351T106
Meeting Date 05/13/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director John W. Conway For Yes No
Management Elect Director Steven G. Elliott For Yes No
Management Elect Director Raja Rajamannar For Yes No
Management Elect Director Craig A. Rogerson For Yes No
Management Elect Director Vincent Sorgi For Yes No
Management Elect Director William H. Spence For Yes No
Management Elect Director Natica von Althann For Yes No
Management Elect Director Keith H. Williamson For Yes No
Management Elect Director Phoebe A. Wood For Yes No
Management Elect Director Armando Zagalo de Lima For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Share Holder Require Independent Board Chairman For Yes Yes
CorEnergy Infrastructure Trust, Inc.
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Ticker CORR
Primary CUSIP 21870U502
Meeting Date 05/20/2020
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VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Todd E. Banks For Yes No
Management Ratify Ernst & Young LLP as Auditors For Yes No
Equitrans Midstream Corporation
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Ticker ETRN
Primary CUSIP 294600101
Meeting Date 05/20/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Vicky A. Bailey For Yes No
Management Elect Director Sarah M. Barpoulis For Yes No
Management Elect Director Kenneth M. Burke For Yes No
Management Elect Director Patricia K. Collawn For Yes No
Management Elect Director Margaret K. Dorman For Yes No
Management Elect Director Thomas F. Karam For Yes No
Management Elect Director D. Mark Leland For Yes No
Management Elect Director Norman J. Szydlowski For Yes No
Management Elect Director Robert F. Vagt For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Ernst & Young LLP as Auditors For Yes No
- 6 -
ONEOK, Inc.
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Ticker OKE
Primary CUSIP 682680103
Meeting Date 05/20/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Brian L. Derksen For Yes No
Management Elect Director Julie H. Edwards For Yes No
Management Elect Director John W. Gibson For Yes No
Management Elect Director Mark W. Helderman For Yes No
Management Elect Director Randall J. Larson For Yes No
Management Elect Director Steven J. Malcolm For Yes No
Management Elect Director Jim W. Mogg For Yes No
Management Elect Director Pattye L. Moore For Yes No
Management Elect Director Gary D. Parker For Yes No
Management Elect Director Eduardo A. Rodriguez For Yes No
Management Elect Director Terry K. Spencer For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Plains GP Holdings, L.P.
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Ticker PAGP
Primary CUSIP 72651A207
Meeting Date 05/20/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Alexandra Pruner For Yes No
Management Elect Director Lawrence M. Ziemba For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditor For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation Against Yes Yes
Alliant Energy Corporation
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Ticker LNT
Primary CUSIP 018802108
Meeting Date 05/21/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Patrick E. Allen For Yes No
Management Elect Director Michael D. Garcia For Yes No
Management Elect Director Singleton B. McAllister For Yes No
Management Elect Director Susan D. Whiting For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Approve Omnibus Stock Plan For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
IDACORP, Inc.
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Ticker IDA
Primary CUSIP 451107106
Meeting Date 05/21/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Darrel T. Anderson For Yes No
Management Elect Director Thomas Carlile For Yes No
Management Elect Director Richard J. Dahl For Yes No
Management Elect Director Annette G. Elg For Yes No
Management Elect Director Lisa A. Grow For Yes No
Management Elect Director Ronald W. Jibson For Yes No
Management Elect Director Judith A. Johansen For Yes No
Management Elect Director Dennis L. Johnson For Yes No
Management Elect Director Christine King For Yes No
Management Elect Director Richard J. Navarro For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditor For Yes No
NextEra Energy, Inc.
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Ticker NEE
Primary CUSIP 65339F101
Meeting Date 05/21/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Sherry S. Barrat For Yes No
Management Elect Director James L. Camaren For Yes No
Management Elect Director Kenneth B. Dunn For Yes No
Management Elect Director Naren K. Gursahaney For Yes No
Management Elect Director Kirk S. Hachigian For Yes No
Management Elect Director Toni Jennings For Yes No
Management Elect Director Amy B. Lane For Yes No
Management Elect Director David L. Porges For Yes No
Management Elect Director James L. Robo For Yes No
Management Elect Director Rudy E. Schupp For Yes No
Management Elect Director John L. Skolds For Yes No
Management Elect Director William H. Swanson For Yes No
Management Elect Director Darryl L. Wilson For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Share Holder Report on Political Contributions Against Yes No
Share Holder Provide Right to Act by Written Consent For Yes Yes
- 7 -
Xcel Energy Inc.
--------------------------------------------------------------------------------
Ticker XEL
Primary CUSIP 98389B100
Meeting Date 05/22/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Lynn Casey For Yes No
Management Elect Director Ben Fowke For Yes No
Management Elect Director Netha N. Johnson For Yes No
Management Elect Director George Kehl For Yes No
Management Elect Director Richard T. O'Brien For Yes No
Management Elect Director David K. Owens For Yes No
Management Elect Director Christopher J. Policinski For Yes No
Management Elect Director James T. Prokopanko For Yes No
Management Elect Director A. Patricia Sampson For Yes No
Management Elect Director James J. Sheppard For Yes No
Management Elect Director David A. Westerlund For Yes No
Management Elect Director Kim Williams For Yes No
Management Elect Director Timothy V. Wolf For Yes No
Management Elect Director Daniel Yohannes For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Share Holder Report on Costs and Benefits of Climate-Related Activities Against Yes No
The Southern Company
--------------------------------------------------------------------------------
Ticker SO
Primary CUSIP 842587107
Meeting Date 05/27/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Janaki Akella For Yes No
Management Elect Director Juanita Powell Baranco For Yes No
Management Elect Director Jon A. Boscia For Yes No
Management Elect Director Henry A. 'Hal' Clark, III For Yes No
Management Elect Director Anthony F. 'Tony' Earley, Jr. For Yes No
Management Elect Director Thomas A. Fanning For Yes No
Management Elect Director David J. Grain For Yes No
Management Elect Director Donald M. James For Yes No
Management Elect Director John D. Johns For Yes No
Management Elect Director Dale E. Klein For Yes No
Management Elect Director Ernest J. Moniz For Yes No
Management Elect Director William G. Smith, Jr. For Yes No
Management Elect Director Steven R. Specker For Yes No
Management Elect Director E. Jenner Wood, III For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Share Holder Require Independent Board Chair Against Yes No
Share Holder Report on Lobbying Payments and Policy For Yes Yes
Emera Incorporated
--------------------------------------------------------------------------------
Ticker EMA
Primary CUSIP 290876101
Meeting Date 06/05/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Scott C. Balfour For Yes No
Management Elect Director James E. Bertram For Yes No
Management Elect Director Sylvia D. Chrominska For Yes No
Management Elect Director Henry E. Demone For Yes No
Management Elect Director Kent M. Harvey For Yes No
Management Elect Director B. Lynn Loewen For Yes No
Management Elect Director John B. Ramil For Yes No
Management Elect Director Andrea S. Rosen For Yes No
Management Elect Director Richard P. Sergel For Yes No
Management Elect Director M. Jacqueline Sheppard For Yes No
Management Elect Director Jochen E. Tilk For Yes No
Management Ratify Ernst & Young LLP as Auditors For Yes No
Management Authorize Board to Fix Remuneration of Auditors For Yes No
Management Advisory Vote on Executive Compensation Approach For Yes No
Management Amend Employee Common Share Purchase Plan For Yes No
Equitrans Midstream Corporation
--------------------------------------------------------------------------------
Ticker ETRN
Primary CUSIP 294600101
Meeting Date 06/15/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Issue Shares in Connection with Merger For Yes No
Management Adjourn Meeting For Yes No
- 8 -
======================= First Trust EIP Carbon Impact ETF ======================
New Jersey Resources Corporation
--------------------------------------------------------------------------------
Ticker NJR
Primary CUSIP 646025106
Meeting Date 01/22/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director James H. DeGraffenreidt, Jr. For Yes No
Management Elect Director Gregory E. Aliff For Yes No
Management Elect Director Stephen D. Westhoven For Yes No
Management Elect Director Jane M. Kenny For Yes No
Management Elect Director Sharon C. Taylor For Yes No
Management Elect Director David A. Trice For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Atmos Energy Corporation
--------------------------------------------------------------------------------
Ticker ATO
Primary CUSIP 049560105
Meeting Date 02/05/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director J. Kevin Akers For Yes No
Management Elect Director Robert W. Best For Yes No
Management Elect Director Kim R. Cocklin For Yes No
Management Elect Director Kelly H. Compton For Yes No
Management Elect Director Sean Donohue For Yes No
Management Elect Director Rafael G. Garza For Yes No
Management Elect Director Richard K. Gordon For Yes No
Management Elect Director Robert C. Grable For Yes No
Management Elect Director Nancy K. Quinn For Yes No
Management Elect Director Richard A. Sampson For Yes No
Management Elect Director Stephen R. Springer For Yes No
Management Elect Director Diana J. Walters For Yes No
Management Elect Director Richard Ware, II For Yes No
Management Ratify Ernst & Young LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Orsted A/S
--------------------------------------------------------------------------------
Ticker ORSTED
Primary CUSIP K7653Q105
Meeting Date 03/02/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Receive Report of Board Yes No
Management Accept Financial Statements and Statutory Reports For Yes No
Management Approve Remuneration Report (Advisory Vote) For Yes No
Management Approve Discharge of Management and Board For Yes No
Management Approve Allocation of Income and Dividends of DKK 10.5 Per Share For Yes No
Management Authorize Share Repurchase Program (The Board is Not Requesting Any Yes No
Authorization)
Management Approve Guidelines for Incentive-Based Compensation for Executive For Yes No
Management and Board
Management Amend Articles Re: Agenda of Annual General Meeting For Yes No
Management Authorize Editorial Changes to Adopted Resolutions in Connection with For Yes No
Registration with Danish Authorities
Management Other Proposals Shareholders (None Submitted) Yes No
Management Reelect Thomas Thune Andersen (Chair) as Director For Yes No
Management Reelect Lene Skole (Vice Chair) as Director For Yes No
Management Reelect Lynda Armstrong as Director For Yes No
Management Reelect Jorgen Kildah as Director For Yes No
Management Reelect Peter Korsholm as Director For Yes No
Management Reelect Dieter Wemmer as Director For Yes No
Management Approve Remuneration of Directors; Approve Remuneration for Committee Work For Yes No
Management Ratify PricewaterhouseCoopers as Auditors For Yes No
Management Other Business Yes No
EDP Renovaveis SA
--------------------------------------------------------------------------------
Ticker EDPR
Primary CUSIP E3847K101
Meeting Date 03/26/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Approve Consolidated and Standalone Financial Statements For Yes No
Management Approve Treatment of Net Loss For Yes No
Management Approve Dividends For Yes No
Management Approve Consolidated and Standalone Management Reports, and Corporate For Yes No
Governance Report
Management Approve Non-Financial Information Statement For Yes No
Management Appraise Management of Company and Approve Vote of Confidence to Board of For Yes No
Directors and Executive Committee
Management Ratify Appointment of and Elect Rui Manuel Rodrigues Lopes Teixeira as For Yes No
Director
Management Authorize Share Repurchase Program For Yes No
Management Authorize Issuance of Non-Convertible and/or Convertible Bonds, Debentures, Against Yes Yes
Warrants, and Other Debt Securities without Preemptive Rights up to
EUR 300 Million
Management Approve Remuneration Policy For Yes No
Management Authorize Board to Ratify and Execute Approved Resolutions For Yes No
- 9 -
Iberdrola SA
--------------------------------------------------------------------------------
Ticker IBE
Primary CUSIP E6165F166
Meeting Date 04/02/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Approve Consolidated and Standalone Financial Statements For Yes No
Management Approve Consolidated and Standalone Management Reports For Yes No
Management Approve Non-Financial Information Statement For Yes No
Management Approve Discharge of Board For Yes No
Management Renew Appointment of KPMG Auditores as Auditor For Yes No
Management Amend Articles Re: Corporate Interest and Social Dividend For Yes No
Management Amend Article 8 Re: Compliance System and Compliance Unit For Yes No
Management Amend Article 10 to Reflect Changes in Capital For Yes No
Management Amend Article 9 of General Meeting Regulations Re: Shareholders' Power to For Yes No
Approve the Non-Financial Information Statement
Management Amend Articles of General Meeting Regulations Re: Right to Information and For Yes No
Remote Participation
Management Amend Articles of General Meeting Regulations Re: Technical Improvements For Yes No
Management Approve Allocation of Income and Dividends For Yes No
Management Approve Scrip Dividends For Yes No
Management Approve Scrip Dividends For Yes No
Management Advisory Vote on Remuneration Report For Yes No
Management Approve Restricted Stock Plan For Yes No
Management Elect Nicola Mary Brewer as Director For Yes No
Management Elect Regina Helena Jorge Nunes as Director For Yes No
Management Reelect Inigo Victor de Oriol Ibarra as Director For Yes No
Management Reelect Samantha Barber as Director For Yes No
Management Fix Number of Directors at 14 For Yes No
Management Authorize Increase in Capital up to 50 Percent via Issuance of Equity or For Yes No
Equity-Linked Securities, Excluding Preemptive Rights of up to 10 Percent
Management Authorize Issuance of Convertible Bonds, Debentures, Warrants, and Other For Yes No
Debt Securities up to EUR 5 Billion with Exclusion of Preemptive
Rights up to 10 Percent of Capital
Management Authorize Board to Ratify and Execute Approved Resolutions For Yes No
American Electric Power Company, Inc.
--------------------------------------------------------------------------------
Ticker AEP
Primary CUSIP 025537101
Meeting Date 04/21/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Nicholas K. Akins For Yes No
Management Elect Director David J. Anderson For Yes No
Management Elect Director J. Barnie Beasley, Jr. For Yes No
Management Elect Director Ralph D. Crosby, Jr. For Yes No
Management Elect Director Art A. Garcia For Yes No
Management Elect Director Linda A. Goodspeed For Yes No
Management Elect Director Thomas E. Hoaglin For Yes No
Management Elect Director Sandra Beach Lin For Yes No
Management Elect Director Margaret M. McCarthy For Yes No
Management Elect Director Richard C. Notebaert For Yes No
Management Elect Director Stephen S. Rasmussen For Yes No
Management Elect Director Oliver G. Richard, III For Yes No
Management Elect Director Sara Martinez Tucker For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
NextEra Energy Partners, LP
--------------------------------------------------------------------------------
Ticker NEP
Primary CUSIP 65341B106
Meeting Date 04/21/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Susan D. Austin For Yes No
Management Elect Director Robert J. Byrne For Yes No
Management Elect Director Peter H. Kind For Yes No
Management Elect Director James L. Robo For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Public Service Enterprise Group Incorporated
--------------------------------------------------------------------------------
Ticker PEG
Primary CUSIP 744573106
Meeting Date 04/21/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Ralph Izzo For Yes No
Management Elect Director Shirley Ann Jackson For Yes No
Management Elect Director Willie A. Deese For Yes No
Management Elect Director David Lilley For Yes No
Management Elect Director Barry H. Ostrowsky For Yes No
Management Elect Director Scott G. Stephenson For Yes No
Management Elect Director Laura A. Sugg For Yes No
Management Elect Director John P. Surma For Yes No
Management Elect Director Susan Tomasky For Yes No
Management Elect Director Alfred W. Zollar For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
- 10 -
Edison International
--------------------------------------------------------------------------------
Ticker EIX
Primary CUSIP 281020107
Meeting Date 04/23/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Jeanne Beliveau-Dunn For Yes No
Management Elect Director Michael C. Camunez For Yes No
Management Elect Director Vanessa C.L. Chang For Yes No
Management Elect Director James T. Morris For Yes No
Management Elect Director Timothy T. O'Toole For Yes No
Management Elect Director Pedro J. Pizarro For Yes No
Management Elect Director Carey A. Smith For Yes No
Management Elect Director Linda G. Stuntz For Yes No
Management Elect Director William P. Sullivan For Yes No
Management Elect Director Peter J. Taylor For Yes No
Management Elect Director Keith Trent For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Share Holder Require Shareholder Approval of Bylaw Amendments Adopted by the Board of Against Yes No
Directors
The Williams Companies, Inc.
--------------------------------------------------------------------------------
Ticker WMB
Primary CUSIP 969457100
Meeting Date 04/28/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Alan S. Armstrong For Yes No
Management Elect Director Stephen W. Bergstrom Against Yes Yes
Management Elect Director Nancy K. Buese For Yes No
Management Elect Director Stephen I. Chazen For Yes No
Management Elect Director Charles I. Cogut For Yes No
Management Elect Director Michael A. Creel For Yes No
Management Elect Director Vicki L. Fuller For Yes No
Management Elect Director Peter A. Ragauss For Yes No
Management Elect Director Scott D. Sheffield For Yes No
Management Elect Director Murray D. Smith For Yes No
Management Elect Director William H. Spence For Yes No
Management Amend Omnibus Stock Plan For Yes No
Management Amend Qualified Employee Stock Purchase Plan For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Ernst & Young LLP as Auditors For Yes No
CMS Energy Corporation
--------------------------------------------------------------------------------
Ticker CMS
Primary CUSIP 125896100
Meeting Date 05/01/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Jon E. Barfield For Yes No
Management Elect Director Deborah H. Butler For Yes No
Management Elect Director Kurt L. Darrow For Yes No
Management Elect Director William D. Harvey For Yes No
Management Elect Director Patricia K. Poppe For Yes No
Management Elect Director John G. Russell For Yes No
Management Elect Director Suzanne F. Shank For Yes No
Management Elect Director Myrna M. Soto For Yes No
Management Elect Director John G. Sznewajs For Yes No
Management Elect Director Ronald J. Tanski For Yes No
Management Elect Director Laura H. Wright For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Management Approve Omnibus Stock Plan For Yes No
Share Holder Report on Political Contributions For Yes Yes
Sempra Energy
--------------------------------------------------------------------------------
Ticker SRE
Primary CUSIP 816851109
Meeting Date 05/05/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Alan L. Boeckmann For Yes No
Management Elect Director Kathleen L. Brown For Yes No
Management Elect Director Andres Conesa For Yes No
Management Elect Director Maria Contreras-Sweet For Yes No
Management Elect Director Pablo A. Ferrero For Yes No
Management Elect Director William D. Jones For Yes No
Management Elect Director Jeffrey W. Martin For Yes No
Management Elect Director Bethany J. Mayer For Yes No
Management Elect Director Michael N. Mears For Yes No
Management Elect Director Jack T. Taylor For Yes No
Management Elect Director Cynthia L. Walker For Yes No
Management Elect Director Cynthia J. Warner For Yes No
Management Elect Director James C. Yardley For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Share Holder Require Independent Board Chair Against Yes No
- 11 -
Eversource Energy
--------------------------------------------------------------------------------
Ticker ES
Primary CUSIP 30040W108
Meeting Date 05/06/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Cotton M. Cleveland For Yes No
Management Elect Director James S. DiStasio For Yes No
Management Elect Director Francis A. Doyle For Yes No
Management Elect Director Linda Dorcena Forry For Yes No
Management Elect Director James J. Judge For Yes No
Management Elect Director John Y. Kim For Yes No
Management Elect Director Kenneth R. Leibler For Yes No
Management Elect Director David H. Long For Yes No
Management Elect Director William C. Van Faasen For Yes No
Management Elect Director Frederica M. Williams For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
WEC Energy Group, Inc.
--------------------------------------------------------------------------------
Ticker WEC
Primary CUSIP 92939U106
Meeting Date 05/06/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Patricia W. Chadwick For Yes No
Management Elect Director Curt S. Culver For Yes No
Management Elect Director Danny L. Cunningham For Yes No
Management Elect Director William M. Farrow, III For Yes No
Management Elect Director Thomas J. Fischer For Yes No
Management Elect Director J. Kevin Fletcher For Yes No
Management Elect Director Maria C. Green For Yes No
Management Elect Director Gale E. Klappa For Yes No
Management Elect Director Henry W. Knueppel For Yes No
Management Elect Director Thomas K. Lane For Yes No
Management Elect Director Ulice Payne, Jr. For Yes No
Management Elect Director Mary Ellen Stanek For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Fortis Inc.
--------------------------------------------------------------------------------
Ticker FTS
Primary CUSIP 349553107
Meeting Date 05/07/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Tracey C. Ball For Yes No
Management Elect Director Pierre J. Blouin For Yes No
Management Elect Director Paul J. Bonavia For Yes No
Management Elect Director Lawrence T. Borgard For Yes No
Management Elect Director Maura J. Clark For Yes No
Management Elect Director Margarita K. Dilley For Yes No
Management Elect Director Julie A. Dobson For Yes No
Management Elect Director Douglas J. Haughey For Yes No
Management Elect Director Barry V. Perry For Yes No
Management Elect Director Jo Mark Zurel For Yes No
Management Approve Deloitte LLP as Auditors and Authorize Board to Fix Their For Yes No
Remuneration
Management Approve Advance Notice Requirement For Yes No
Management Advisory Vote on Executive Compensation Approach For Yes No
American Water Works Company, Inc.
--------------------------------------------------------------------------------
Ticker AWK
Primary CUSIP 030420103
Meeting Date 05/13/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Jeffrey N. Edwards For Yes No
Management Elect Director Martha Clark Goss For Yes No
Management Elect Director Veronica M. Hagen For Yes No
Management Elect Director Kimberly J. Harris For Yes No
Management Elect Director Julia L. Johnson For Yes No
Management Elect Director Patricia L. Kampling For Yes No
Management Elect Director Karl F. Kurz For Yes No
Management Elect Director Walter J. Lynch For Yes No
Management Elect Director George MacKenzie For Yes No
Management Elect Director James G. Stavridis For Yes No
Management Elect Director Lloyd M. Yates For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
- 12 -
PPL Corporation
--------------------------------------------------------------------------------
Ticker PPL
Primary CUSIP 69351T106
Meeting Date 05/13/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director John W. Conway For Yes No
Management Elect Director Steven G. Elliott For Yes No
Management Elect Director Raja Rajamannar For Yes No
Management Elect Director Craig A. Rogerson For Yes No
Management Elect Director Vincent Sorgi For Yes No
Management Elect Director William H. Spence For Yes No
Management Elect Director Natica von Althann For Yes No
Management Elect Director Keith H. Williamson For Yes No
Management Elect Director Phoebe A. Wood For Yes No
Management Elect Director Armando Zagalo de Lima For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Share Holder Require Independent Board Chairman For Yes Yes
Cheniere Energy, Inc.
--------------------------------------------------------------------------------
Ticker LNG
Primary CUSIP 16411R208
Meeting Date 05/14/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director G. Andrea Botta For Yes No
Management Elect Director Jack A. Fusco For Yes No
Management Elect Director Vicky A. Bailey For Yes No
Management Elect Director Nuno Brandolini For Yes No
Management Elect Director Michele A. Evans For Yes No
Management Elect Director David I. Foley For Yes No
Management Elect Director David B. Kilpatrick For Yes No
Management Elect Director Andrew Langham For Yes No
Management Elect Director Courtney R. Mather For Yes No
Management Elect Director Donald F. Robillard, Jr. For Yes No
Management Elect Director Neal A. Shear For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify KPMG LLP as Auditors For Yes No
Management Approve Omnibus Stock Plan For Yes No
Share Holder Report on Plans to Address Stranded Carbon Asset Risks For Yes Yes
Alliant Energy Corporation
--------------------------------------------------------------------------------
Ticker LNT
Primary CUSIP 018802108
Meeting Date 05/21/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Patrick E. Allen For Yes No
Management Elect Director Michael D. Garcia For Yes No
Management Elect Director Singleton B. McAllister For Yes No
Management Elect Director Susan D. Whiting For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Approve Omnibus Stock Plan For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
IDACORP, Inc.
--------------------------------------------------------------------------------
Ticker IDA
Primary CUSIP 451107106
Meeting Date 05/21/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Darrel T. Anderson For Yes No
Management Elect Director Thomas Carlile For Yes No
Management Elect Director Richard J. Dahl For Yes No
Management Elect Director Annette G. Elg For Yes No
Management Elect Director Lisa A. Grow For Yes No
Management Elect Director Ronald W. Jibson For Yes No
Management Elect Director Judith A. Johansen For Yes No
Management Elect Director Dennis L. Johnson For Yes No
Management Elect Director Christine King For Yes No
Management Elect Director Richard J. Navarro For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditor For Yes No
NextEra Energy, Inc.
--------------------------------------------------------------------------------
Ticker NEE
Primary CUSIP 65339F101
Meeting Date 05/21/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Sherry S. Barrat For Yes No
Management Elect Director James L. Camaren For Yes No
Management Elect Director Kenneth B. Dunn For Yes No
Management Elect Director Naren K. Gursahaney For Yes No
Management Elect Director Kirk S. Hachigian For Yes No
Management Elect Director Toni Jennings For Yes No
Management Elect Director Amy B. Lane For Yes No
Management Elect Director David L. Porges For Yes No
Management Elect Director James L. Robo For Yes No
Management Elect Director Rudy E. Schupp For Yes No
Management Elect Director John L. Skolds For Yes No
Management Elect Director William H. Swanson For Yes No
Management Elect Director Darryl L. Wilson For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Share Holder Report on Political Contributions Against Yes No
Share Holder Provide Right to Act by Written Consent For Yes Yes
- 13 -
ONE Gas, Inc.
--------------------------------------------------------------------------------
Ticker OGS
Primary CUSIP 68235P108
Meeting Date 05/21/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Robert B. Evans For Yes No
Management Elect Director John W. Gibson For Yes No
Management Elect Director Tracy E. Hart For Yes No
Management Elect Director Michael G. Hutchinson For Yes No
Management Elect Director Pattye L. Moore For Yes No
Management Elect Director Pierce H. Norton, II For Yes No
Management Elect Director Eduardo A. Rodriguez For Yes No
Management Elect Director Douglas H. Yaeger For Yes No
Management Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Xcel Energy Inc.
--------------------------------------------------------------------------------
Ticker XEL
Primary CUSIP 98389B100
Meeting Date 05/22/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Lynn Casey For Yes No
Management Elect Director Ben Fowke For Yes No
Management Elect Director Netha N. Johnson For Yes No
Management Elect Director George Kehl For Yes No
Management Elect Director Richard T. O'Brien For Yes No
Management Elect Director David K. Owens For Yes No
Management Elect Director Christopher J. Policinski For Yes No
Management Elect Director James T. Prokopanko For Yes No
Management Elect Director A. Patricia Sampson For Yes No
Management Elect Director James J. Sheppard For Yes No
Management Elect Director David A. Westerlund For Yes No
Management Elect Director Kim Williams For Yes No
Management Elect Director Timothy V. Wolf For Yes No
Management Elect Director Daniel Yohannes For Yes No
Management Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Management Ratify Deloitte & Touche LLP as Auditors For Yes No
Share Holder Report on Costs and Benefits of Climate-Related Activities Against Yes No
Emera Incorporated
--------------------------------------------------------------------------------
Ticker EMA
Primary CUSIP 290876101
Meeting Date 06/05/2020
--------------------------------------------------------------------------------
VOTE
VOTE AGAINST
PROPONENT PROPOSAL TEXT INSTRUCTION VOTED MANAGEMENT
Management Elect Director Scott C. Balfour For Yes No
Management Elect Director James E. Bertram For Yes No
Management Elect Director Sylvia D. Chrominska For Yes No
Management Elect Director Henry E. Demone For Yes No
Management Elect Director Kent M. Harvey For Yes No
Management Elect Director B. Lynn Loewen For Yes No
Management Elect Director John B. Ramil For Yes No
Management Elect Director Andrea S. Rosen For Yes No
Management Elect Director Richard P. Sergel For Yes No
Management Elect Director M. Jacqueline Sheppard For Yes No
Management Elect Director Jochen E. Tilk For Yes No
Management Ratify Ernst & Young LLP as Auditors For Yes No
Management Authorize Board to Fix Remuneration of Auditors For Yes No
Management Advisory Vote on Executive Compensation Approach For Yes No
Management Amend Employee Common Share Purchase Plan For Yes No
- 14 -
=============== First Trust Heitman Global Prime Real Estate ETF ===============
The British Land Co. Plc
--------------------------------------------------------------------------------
Ticker BLND
Primary Security ID G15540118
Country United Kingdom
Meeting Date 07/19/2019
Meeting Type Annual
Record Date 07/17/2019
Shares Voted 5,139
--------------------------------------------------------------------------------
Voting
Proposal Policy Vote
Number Proposal Text Proponent Mgmt Rec Rec Instruction
1 Accept Financial Statements and Statutory Reports Mgmt For For For
2 Approve Remuneration Report Mgmt For For For
3 Approve Remuneration Policy Mgmt For For For
4 Approve Final Dividend Mgmt For For For
5 Re-elect Simon Carter as Director Mgmt For For For
6 Re-elect Lynn Gladden as Director Mgmt For For For
7 Re-elect Chris Grigg as Director Mgmt For For For
8 Re-elect Alastair Hughes as Director Mgmt For For For
9 Re-elect William Jackson as Director Mgmt For For For
10 Re-elect Nicholas Macpherson as Director Mgmt For For For
11 Re-elect Preben Prebensen as Director Mgmt For For For
12 Re-elect Tim Score as Director Mgmt For For For
13 Re-elect Laura Wade-Gery as Director Mgmt For For For
14 Re-elect Rebecca Worthington as Director Mgmt For For For
15 Reappoint PricewaterhouseCoopers LLP as Auditors Mgmt For For For
16 Authorise the Audit Committee to Fix Remuneration of Auditors Mgmt For For For
17 Authorise EU Political Donations and Expenditure Mgmt For For For
18 Approve Scrip Dividends Mgmt For For For
19 Authorise Issue of Equity Mgmt For For For
20 Authorise Issue of Equity without Pre-emptive Rights Mgmt For For For
21 Authorise Issue of Equity without Pre-emptive Rights in Connection Mgmt For For For
with an Acquisition or Other Capital Investment
22 Authorise Market Purchase of Ordinary Shares Mgmt For For For
23 Authorise the Company to Call General Meeting with Two Weeks' Notice Mgmt For For For
Mapletree Commercial Trust
--------------------------------------------------------------------------------
Ticker N2IU
Primary Security ID Y5759T101
Country Singapore
Meeting Date 07/24/2019
Meeting Type Annual
Record Date
Shares Voted 16,500
--------------------------------------------------------------------------------
Voting
Proposal Policy Vote
Number Proposal Text Proponent Mgmt Rec Rec Instruction
1 Adopt Report of the Trustee, Statement by the Manager, Audited Financial Mgmt For For For
Statements and Auditors' Report
2 Approve PricewaterhouseCoopers LLP as Auditor and Authorize Manager to Mgmt For For For
Fix Their Remuneration
3 Approve Issuance of Equity or Equity-Linked Securities with or without Mgmt For For For
Preemptive Rights
CapitaLand Commercial Trust
--------------------------------------------------------------------------------
Ticker C61U
Primary Security ID Y1091N100
Country Singapore
Meeting Date 09/06/2019
Meeting Type Special
Record Date
Shares Voted 16,000
--------------------------------------------------------------------------------
Voting
Proposal Policy Vote
Number Proposal Text Proponent Mgmt Rec Rec Instruction
1 Approve Acquisition of 94.9 Percent Shares in Target Companies Mgmt For For For
- 15 -
======================= First Trust Strategic Income ETF =======================
ALLETE, INC.
Ticker: ALE Security ID: 018522300
Meeting Date: MAY 12, 2020 Meeting Type: Annual
Record Date: MAR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Kathryn W. Dindo For For Management
1b Elect Director George G. Goldfarb For For Management
1c Elect Director Alan R. Hodnik For For Management
1d Elect Director James J. Hoolihan For For Management
1e Elect Director Heidi E. Jimmerson For For Management
1f Elect Director Madeleine W. Ludlow For For Management
1g Elect Director Susan K. Nestegard For For Management
1h Elect Director Douglas C. Neve For For Management
1i Elect Director Bethany M. Owen For For Management
1j Elect Director Robert P. Powers For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
ALLIANT ENERGY CORPORATION
Ticker: LNT Security ID: 018802108
Meeting Date: MAY 21, 2020 Meeting Type: Annual
Record Date: MAR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Patrick E. Allen For For Management
1.2 Elect Director Michael D. Garcia For For Management
1.3 Elect Director Singleton B. McAllister For For Management
1.4 Elect Director Susan D. Whiting For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Omnibus Stock Plan For For Management
4 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
AMERICAN ELECTRIC POWER COMPANY, INC.
Ticker: AEP Security ID: 025537101
Meeting Date: APR 21, 2020 Meeting Type: Annual
Record Date: FEB 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Nicholas K. Akins For For Management
1.2 Elect Director David J. Anderson For For Management
1.3 Elect Director J. Barnie Beasley, Jr. For For Management
1.4 Elect Director Ralph D. Crosby, Jr. For For Management
1.5 Elect Director Art A. Garcia For For Management
1.6 Elect Director Linda A. Goodspeed For For Management
1.7 Elect Director Thomas E. Hoaglin For For Management
1.8 Elect Director Sandra Beach Lin For For Management
1.9 Elect Director Margaret M. McCarthy For For Management
1.10 Elect Director Richard C. Notebaert For For Management
1.11 Elect Director Stephen S. Rasmussen For For Management
1.12 Elect Director Oliver G. Richard, III For For Management
1.13 Elect Director Sara Martinez Tucker For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
ATMOS ENERGY CORPORATION
Ticker: ATO Security ID: 049560105
Meeting Date: FEB 05, 2020 Meeting Type: Annual
Record Date: DEC 13, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director J. Kevin Akers For For Management
1b Elect Director Robert W. Best For For Management
1c Elect Director Kim R. Cocklin For For Management
1d Elect Director Kelly H. Compton For For Management
1e Elect Director Sean Donohue For For Management
1f Elect Director Rafael G. Garza For For Management
1g Elect Director Richard K. Gordon For For Management
1h Elect Director Robert C. Grable For For Management
1i Elect Director Nancy K. Quinn For For Management
1j Elect Director Richard A. Sampson For For Management
1k Elect Director Stephen R. Springer For For Management
1l Elect Director Diana J. Walters For For Management
1m Elect Director Richard Ware, II For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
C.H. ROBINSON WORLDWIDE, INC.
Ticker: CHRW Security ID: 12541W209
Meeting Date: MAY 07, 2020 Meeting Type: Annual
Record Date: MAR 11, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Scott P. Anderson For For Management
1.2 Elect Director Robert C. Biesterfeld, For For Management
Jr.
1.3 Elect Director Wayne M. Fortun For For Management
1.4 Elect Director Timothy C. Gokey For For Management
1.5 Elect Director Mary J. Steele Guilfoile For For Management
1.6 Elect Director Jodee A. Kozlak For For Management
1.7 Elect Director Brian P. Short For For Management
1.8 Elect Director James B. Stake For For Management
1.9 Elect Director Paula C. Tolliver For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
- 16 -
CATHAY GENERAL BANCORP
Ticker: CATY Security ID: 149150104
Meeting Date: MAY 18, 2020 Meeting Type: Annual
Record Date: APR 01, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Nelson Chung For For Management
1b Elect Director Felix S. Fernandez For For Management
1c Elect Director Maan-Huei Hung For For Management
1d Elect Director Richard Sun For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Advisory Vote on Say on Pay Frequency One Year One Year Management
4 Ratify KPMG LLP as Auditors For For Management
--------------------------------------------------------------------------------
CHINA TELECOM CORPORATION LIMITED
Ticker: 728 Security ID: 169426103
Meeting Date: AUG 19, 2019 Meeting Type: Special
Record Date: JUL 15, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Liu Guiqing as Director, For For Management
Authorize Board to Execute a Service
Contract with Him and Authorize Board
to Fix Director's Remuneration
2 Elect Wang Guoquan as Director, For For Management
Authorize Board to Execute a Service
Contract with Him and Authorize Board
to Fix Director's Remuneration
3 Approve Amendments to Articles of For For Management
Association
--------------------------------------------------------------------------------
CHINA TELECOM CORPORATION LIMITED
Ticker: 728 Security ID: 169426103
Meeting Date: MAY 26, 2020 Meeting Type: Annual
Record Date: APR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve 2019 Profit Distribution Plan For For Management
and Final Dividend Payment
3 Approve Deloitte Touche Tohmatsu and For For Management
Deloitte Touche Tohmatsu Certified
Public Accountants LLP as the
International Auditor and Domestic
Auditor and Authorize Board to Fix
Their Remuneration
4.1 Elect Ke Ruiwen as Director For For Management
4.2 Elect Li Zhengmao as Director For For Management
4.3 Elect Shao Guanglu as Director For For Management
4.4 Elect Chen Zhongyue as Director For For Management
4.5 Elect Liu Guiqing as Director For For Management
4.6 Elect Zhu Min as Director For For Management
4.7 Elect Wang Guoquan as Director For For Management
4.8 Elect Chen Shengguang as Director For For Management
4.9 Elect Tse Hau Yin, Aloysius as Director For For Management
4.10 Elect Xu Erming as Director For For Management
4.11 Elect Wang Hsuehming as Director For For Management
4.12 Elect Yeung Chi Wai, Jason as Director For For Management
5.1 Elect Sui Yixun as Supervisor For For Management
5.2 Elect Xu Shiguang as Supervisor For For Management
5.3 Elect You Minqiang as Supervisor For For Management
6 Amend Articles of Association and For For Management
Approve Authorization of Directors to
Complete Registration or Filing of the
Amendments to the Articles of
Association
7 Approve Issuance of Debentures, For Against Management
Authorize Board to Issue Debentures
and Determine Specific Terms,
Conditions and Other Matters of the
Debentures and Approve Centralized
Registration of Debentures
8 Approve Issuance of Company Bonds in For For Management
the People's Republic of China,
Authorize Board to Issue Company Bonds
and Determine Specific Terms,
Conditions and Other Matters of the
Company Bonds in the People's Republic
of China
9 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights for Domestic Shares
and H Shares and Approve Amendments to
Articles of Association to Reflect
Changes in the Registered Capital of
the Company
--------------------------------------------------------------------------------
COLUMBIA BANKING SYSTEM, INC.
Ticker: COLB Security ID: 197236102
Meeting Date: MAY 27, 2020 Meeting Type: Annual
Record Date: MAR 30, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Craig D. Eerkes For For Management
1b Elect Director Ford Elsaesser For For Management
1c Elect Director Mark A. Finkelstein For For Management
1d Elect Director Eric S. Forrest For For Management
1e Elect Director Thomas M. Hulbert For For Management
1f Elect Director Michelle M. Lantow For For Management
1g Elect Director Randal L. Lund For For Management
1h Elect Director S. Mae Fujita Numata For For Management
1i Elect Director Elizabeth W. Seaton For For Management
1j Elect Director Clint E. Stein For For Management
1k Elect Director Janine T. Terrano For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
- 17 -
CREDICORP LTD.
Ticker: BAP Security ID: G2519Y108
Meeting Date: JUN 05, 2020 Meeting Type: Annual
Record Date: MAY 06, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Present 2019 Annual Report None None Management
2 Present Audited Consolidated Financial None None Management
Statements of Credicorp and its
Subsidiaries for FY 2019, Including
External Auditors' Report
3.1 Elect Antonio Abruna Puyol as Director For For Management
3.2 Elect Maite Aranzabal Harreguy as For For Management
Director
3.3 Elect Fernando Fort Marie as Director For For Management
3.4 Elect Alexandre Gouvea as Director For For Management
3.5 Elect Patricia Lizarraga Guthertz as For For Management
Director
3.6 Elect Raimundo Morales Dasso as For For Management
Director
3.7 Elect Irzio Pinasco Menchelli as For For Management
Director
3.8 Elect Luis Enrique Romero Belismelis For For Management
as Director
4 Approve Remuneration of Directors For For Management
5.1 Amend Article 2.6 Re: Transfer of For For Management
Shares
5.2 Amend Article 3.4.2 Re: Mechanisms for For For Management
Appointment of Proxy
5.3 Amend Article 4.11 Re: Increase in For For Management
Number of Directors
5.4 Amend Article 4.15 Re: Notice of Board For For Management
Meetings and Participation of
Directors in Board Meetings
5.5 Amend Article 4.16.1 Re: Quorum for For For Management
Transaction of Business at Board
Meetings
6 Ratify PricewaterhouseCoopers as For For Management
Auditor and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
DOMINION ENERGY, INC.
Ticker: D Security ID: 25746U109
Meeting Date: MAY 06, 2020 Meeting Type: Annual
Record Date: FEB 28, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director James A. Bennett For For Management
1b Elect Director Helen E. Dragas For For Management
1c Elect Director James O. Ellis, Jr. For For Management
1d Elect Director Thomas F. Farrell, II For For Management
1e Elect Director D. Maybank Hagood For For Management
1f Elect Director John W. Harris For For Management
1g Elect Director Ronald W. Jibson For For Management
1h Elect Director Mark J. Kington For For Management
1i Elect Director Joseph M. Rigby For For Management
1j Elect Director Pamela J. Royal For For Management
1k Elect Director Robert H. Spilman, Jr. For For Management
1l Elect Director Susan N. Story For For Management
1m Elect Director Michael E. Szymanczyk For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Require Independent Board Chairman Against For Shareholder
5 Provide Right to Act by Written Consent Against For Shareholder
--------------------------------------------------------------------------------
DUKE ENERGY CORPORATION
Ticker: DUK Security ID: 26441C204
Meeting Date: MAY 07, 2020 Meeting Type: Annual
Record Date: MAR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Michael G. Browning For For Management
1.2 Elect Director Annette K. Clayton For For Management
1.3 Elect Director Theodore F. Craver, Jr. For For Management
1.4 Elect Director Robert M. Davis For For Management
1.5 Elect Director Daniel R. DiMicco For For Management
1.6 Elect Director Nicholas C. Fanandakis For For Management
1.7 Elect Director Lynn J. Good For For Management
1.8 Elect Director John T. Herron For For Management
1.9 Elect Director William E. Kennard For For Management
1.10 Elect Director E. Marie McKee For For Management
1.11 Elect Director Marya M. Rose For For Management
1.12 Elect Director Thomas E. Skains For For Management
1.13 Elect Director William E. Webster, Jr. For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Require Independent Board Chairman Against For Shareholder
5 Eliminate Supermajority Vote None For Shareholder
Requirement
6 Report on Political Contributions Against For Shareholder
7 Report on Lobbying Payments and Policy Against For Shareholder
--------------------------------------------------------------------------------
EMERA INCORPORATED
Ticker: EMA Security ID: 290876101
Meeting Date: JUL 11, 2019 Meeting Type: Special
Record Date: MAY 31, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles Re: Removal of 25 For For Management
Percent Restrictions Relating to Share
Ownership and Voting Rights by
Non-Canadian Resident Shareholder
2 The Undersigned Hereby Certifies that None Abstain Management
the Shares Represented by this Proxy
are Owned and Controlled by a Canadian.
Vote FOR = Yes and ABSTAIN = No. A
Vote Against will be treated as not
voted.
--------------------------------------------------------------------------------
- 18 -
EMERA INCORPORATED
Ticker: EMA Security ID: 290876101
Meeting Date: JUN 05, 2020 Meeting Type: Annual
Record Date: APR 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Scott C. Balfour For For Management
1.2 Elect Director James E. Bertram For For Management
1.3 Elect Director Sylvia D. Chrominska For For Management
1.4 Elect Director Henry E. Demone For For Management
1.5 Elect Director Kent M. Harvey For For Management
1.6 Elect Director B. Lynn Loewen For For Management
1.7 Elect Director John B. Ramil For For Management
1.8 Elect Director Andrea S. Rosen For For Management
1.9 Elect Director Richard P. Sergel For For Management
1.10 Elect Director M. Jacqueline Sheppard For For Management
1.11 Elect Director Jochen E. Tilk For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Authorize Board to Fix Remuneration of For For Management
Auditors
4 Advisory Vote on Executive For For Management
Compensation Approach
5 Amend Employee Common Share Purchase For For Management
Plan
--------------------------------------------------------------------------------
EMERSON ELECTRIC CO.
Ticker: EMR Security ID: 291011104
Meeting Date: FEB 04, 2020 Meeting Type: Annual
Record Date: NOV 26, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Martin S. Craighead For For Management
1.2 Elect Director David N. Farr For For Management
1.3 Elect Director Gloria A. Flach For For Management
1.4 Elect Director Matthew S. Levatich For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Declassify the Board of Directors For For Management
--------------------------------------------------------------------------------
ENBRIDGE INC.
Ticker: ENB Security ID: 29250N105
Meeting Date: MAY 05, 2020 Meeting Type: Annual
Record Date: MAR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Pamela L. Carter For For Management
1.2 Elect Director Marcel R. Coutu For For Management
1.3 Elect Director Susan M. Cunningham For For Management
1.4 Elect Director Gregory L. Ebel For For Management
1.5 Elect Director J. Herb England For For Management
1.6 Elect Director Charles W. Fischer For For Management
1.7 Elect Director Gregory J. Goff For For Management
1.8 Elect Director V. Maureen Kempston For For Management
Darkes
1.9 Elect Director Teresa S. Madden For For Management
1.10 Elect Director Al Monaco For For Management
1.11 Elect Director Dan C. Tutcher For For Management
2 Approve PricewaterhouseCoopers LLP as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
3 Approve Shareholder Rights Plan For For Management
4 Amend By-Law No. 1 of Enbridge For For Management
5 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
EQUITRANS MIDSTREAM CORPORATION
Ticker: ETRN Security ID: 294600101
Meeting Date: MAY 20, 2020 Meeting Type: Annual
Record Date: MAR 12, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Vicky A. Bailey For For Management
1.2 Elect Director Sarah M. Barpoulis For For Management
1.3 Elect Director Kenneth M. Burke For For Management
1.4 Elect Director Patricia K. Collawn For For Management
1.5 Elect Director Margaret K. Dorman For For Management
1.6 Elect Director Thomas F. Karam For For Management
1.7 Elect Director D. Mark Leland For For Management
1.8 Elect Director Norman J. Szydlowski For For Management
1.9 Elect Director Robert F. Vagt For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
EQUITRANS MIDSTREAM CORPORATION
Ticker: ETRN Security ID: 294600101
Meeting Date: JUN 15, 2020 Meeting Type: Special
Record Date: APR 29, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Issue Shares in Connection with Merger For For Management
2 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
- 19 -
EVERGY, INC.
Ticker: EVRG Security ID: 30034W106
Meeting Date: MAY 05, 2020 Meeting Type: Annual
Record Date: FEB 25, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Kirkland B. Andrews For For Management
1b Elect Director Terry Bassham For For Management
1c Elect Director Mollie Hale Carter For For Management
1d Elect Director Richard L. Hawley For For Management
1e Elect Director Thomas D. Hyde For For Management
1f Elect Director B. Anthony Isaac For For Management
1g Elect Director Paul M. Keglevic For For Management
1h Elect Director Sandra A.J. Lawrence For For Management
1i Elect Director Ann D. Murtlow For For Management
1j Elect Director Sandra J. Price For For Management
1k Elect Director Mark A. Ruelle For For Management
1l Elect Director S. Carl Soderstrom, Jr. For For Management
1m Elect Director John Arthur Stall For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
EVERSOURCE ENERGY
Ticker: ES Security ID: 30040W108
Meeting Date: MAY 06, 2020 Meeting Type: Annual
Record Date: MAR 11, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Cotton M. Cleveland For For Management
1.2 Elect Director James S. DiStasio For For Management
1.3 Elect Director Francis A. Doyle For For Management
1.4 Elect Director Linda Dorcena Forry For For Management
1.5 Elect Director James J. Judge For For Management
1.6 Elect Director John Y. Kim For For Management
1.7 Elect Director Kenneth R. Leibler For For Management
1.8 Elect Director David H. Long For For Management
1.9 Elect Director William C. Van Faasen For For Management
1.10 Elect Director Frederica M. Williams For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
EXELON CORPORATION
Ticker: EXC Security ID: 30161N101
Meeting Date: APR 28, 2020 Meeting Type: Annual
Record Date: MAR 02, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Anthony Anderson For For Management
1b Elect Director Ann Berzin For For Management
1c Elect Director Laurie Brlas For For Management
1d Elect Director Christopher M. Crane For For Management
1e Elect Director Yves C. de Balmann For For Management
1f Elect Director Nicholas DeBenedictis For For Management
1g Elect Director Linda P. Jojo For For Management
1h Elect Director Paul Joskow For For Management
1i Elect Director Robert J. Lawless For For Management
1j Elect Director John Richardson For For Management
1k Elect Director Mayo Shattuck, III For For Management
1l Elect Director John F. Young For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
FIRST DEFIANCE FINANCIAL CORP.
Ticker: FDEF Security ID: 32006W106
Meeting Date: APR 28, 2020 Meeting Type: Annual
Record Date: MAR 04, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Lee Burdman For For Management
1.2 Elect Director Jean A. Hubbard For For Management
1.3 Elect Director Charles D. Niehaus For For Management
1.4 Elect Director Mark A. Robison For For Management
1.5 Elect Director Richard J. Schiraldi For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Crowe LLP as Auditors For For Management
--------------------------------------------------------------------------------
FIRST FINANCIAL BANCORP.
Ticker: FFBC Security ID: 320209109
Meeting Date: MAY 26, 2020 Meeting Type: Annual
Record Date: MAR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director J. Wickliffe Ach For For Management
1.2 Elect Director William G. Barron For For Management
1.3 Elect Director Vincent A. Berta For For Management
1.4 Elect Director Cynthia O. Booth For For Management
1.5 Elect Director Archie M. Brown For For Management
1.6 Elect Director Claude E. Davis For For Management
1.7 Elect Director Corinne R. Finnerty For For Management
1.8 Elect Director Susan L. Knust For For Management
1.9 Elect Director William J. Kramer For For Management
1.10 Elect Director John T. Neighbours For For Management
1.11 Elect Director Thomas M. O'Brien For For Management
1.12 Elect Director Maribeth S. Rahe For For Management
2 Ratify Crowe LLP as Auditors For For Management
3 Approve Omnibus Stock Plan For For Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
- 20 -
FORTIS INC.
Ticker: FTS Security ID: 349553107
Meeting Date: MAY 07, 2020 Meeting Type: Annual/Special
Record Date: MAR 20, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Tracey C. Ball For For Management
1.2 Elect Director Pierre J. Blouin For For Management
1.3 Elect Director Paul J. Bonavia For For Management
1.4 Elect Director Lawrence T. Borgard For For Management
1.5 Elect Director Maura J. Clark For For Management
1.6 Elect Director Margarita K. Dilley For For Management
1.7 Elect Director Julie A. Dobson For For Management
1.8 Elect Director Douglas J. Haughey For For Management
1.9 Elect Director Barry V. Perry For For Management
1.10 Elect Director Jo Mark Zurel For For Management
2 Approve Deloitte LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
3 Approve Advance Notice Requirement For For Management
4 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
GENUINE PARTS COMPANY
Ticker: GPC Security ID: 372460105
Meeting Date: APR 27, 2020 Meeting Type: Annual
Record Date: FEB 18, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Elizabeth W. Camp For For Management
1.2 Elect Director Richard Cox, Jr. For For Management
1.3 Elect Director Paul D. Donahue For For Management
1.4 Elect Director Gary P. Fayard For For Management
1.5 Elect Director P. Russell Hardin For For Management
1.6 Elect Director John R. Holder For For Management
1.7 Elect Director Donna W. Hyland For For Management
1.8 Elect Director John D. Johns For For Management
1.9 Elect Director Jean-Jacques Lafont For For Management
1.10 Elect Director Robert C. "Robin" For For Management
Loudermilk, Jr.
1.11 Elect Director Wendy B. Needham For For Management
1.12 Elect Director E. Jenner Wood, III For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
4 Report on EEO Against For Shareholder
--------------------------------------------------------------------------------
GREAT WESTERN BANCORP, INC.
Ticker: GWB Security ID: 391416104
Meeting Date: FEB 04, 2020 Meeting Type: Annual
Record Date: DEC 09, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Frances Grieb For For Management
1.2 Elect Director James Israel For For Management
1.3 Elect Director Stephen Lacy For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
HAWAIIAN ELECTRIC INDUSTRIES, INC.
Ticker: HE Security ID: 419870100
Meeting Date: MAY 05, 2020 Meeting Type: Annual
Record Date: FEB 28, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peggy Y. Fowler For For Management
1.2 Elect Director Keith P. Russell For For Management
1.3 Elect Director Eva T. Zlotnicka For For Management
1.4 Elect Director Micah A. Kane For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Declassify the Board of Directors For For Management
4 Adopt Majority Voting for Uncontested For For Management
Election of Directors
5 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
KINDER MORGAN, INC.
Ticker: KMI Security ID: 49456B101
Meeting Date: MAY 13, 2020 Meeting Type: Annual
Record Date: MAR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard D. Kinder For For Management
1.2 Elect Director Steven J. Kean For For Management
1.3 Elect Director Kimberly A. Dang For For Management
1.4 Elect Director Ted A. Gardner For For Management
1.5 Elect Director Anthony W. Hall, Jr. For For Management
1.6 Elect Director Gary L. Hultquist For For Management
1.7 Elect Director Ronald L. Kuehn, Jr. For For Management
1.8 Elect Director Deborah A. Macdonald For For Management
1.9 Elect Director Michael C. Morgan For For Management
1.10 Elect Director Arthur C. Reichstetter For For Management
1.11 Elect Director Fayez Sarofim For For Management
1.12 Elect Director C. Park Shaper For For Management
1.13 Elect Director William A. Smith For For Management
1.14 Elect Director Joel V. Staff For For Management
1.15 Elect Director Robert F. Vagt For For Management
1.16 Elect Director Perry M. Waughtal For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
- 21 -
MAGELLAN MIDSTREAM PARTNERS, L.P.
Ticker: MMP Security ID: 559080106
Meeting Date: APR 23, 2020 Meeting Type: Annual
Record Date: FEB 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Chansoo Joung For For Management
1.2 Elect Director Michael N. Mears For For Management
1.3 Elect Director James R. Montague For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
NEW JERSEY RESOURCES CORPORATION
Ticker: NJR Security ID: 646025106
Meeting Date: JAN 22, 2020 Meeting Type: Annual
Record Date: NOV 25, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James H. For For Management
DeGraffenreidt, Jr.
1.2 Elect Director Gregory E. Aliff For For Management
1.3 Elect Director Stephen D. Westhoven For For Management
1.4 Elect Director Jane M. Kenny For For Management
1.5 Elect Director Sharon C. Taylor For For Management
1.6 Elect Director David A. Trice For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
NEXTERA ENERGY PARTNERS, LP
Ticker: NEP Security ID: 65341B106
Meeting Date: APR 21, 2020 Meeting Type: Annual
Record Date: FEB 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Susan D. Austin For For Management
1b Elect Director Robert J. Byrne For For Management
1c Elect Director Peter H. Kind For For Management
1d Elect Director James L. Robo For Against Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
NEXTERA ENERGY, INC.
Ticker: NEE Security ID: 65339F101
Meeting Date: MAY 21, 2020 Meeting Type: Annual
Record Date: MAR 23, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Sherry S. Barrat For For Management
1b Elect Director James L. Camaren For For Management
1c Elect Director Kenneth B. Dunn For For Management
1d Elect Director Naren K. Gursahaney For For Management
1e Elect Director Kirk S. Hachigian For For Management
1f Elect Director Toni Jennings For For Management
1g Elect Director Amy B. Lane For For Management
1h Elect Director David L. Porges For For Management
1i Elect Director James L. Robo For For Management
1j Elect Director Rudy E. Schupp For For Management
1k Elect Director John L. Skolds For For Management
1l Elect Director William H. Swanson For For Management
1m Elect Director Darryl L. Wilson For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Report on Political Contributions Against For Shareholder
5 Provide Right to Act by Written Consent Against For Shareholder
--------------------------------------------------------------------------------
NORTHFIELD BANCORP, INC.
Ticker: NFBK Security ID: 66611T108
Meeting Date: MAY 27, 2020 Meeting Type: Annual
Record Date: MAR 30, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John W. Alexander For For Management
1.2 Elect Director Annette Catino For For Management
1.3 Elect Director John P. Connors, Jr. For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify KPMG LLP as Auditor For For Management
--------------------------------------------------------------------------------
NORTHWESTERN CORPORATION
Ticker: NWE Security ID: 668074305
Meeting Date: APR 23, 2020 Meeting Type: Annual
Record Date: FEB 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Stephen P. Adik For For Management
1.2 Elect Director Anthony T. Clark For For Management
1.3 Elect Director Dana J. Dykhouse For For Management
1.4 Elect Director Jan R. Horsfall For For Management
1.5 Elect Director Britt E. Ide For For Management
1.6 Elect Director Julia L. Johnson For For Management
1.7 Elect Director Linda G. Sullivan For For Management
1.8 Elect Director Robert C. Rowe For For Management
1.9 Elect Director Mahvash Yazdi For For Management
1.10 Elect Director Jeffrey W. Yingling For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Other Business For Against Management
--------------------------------------------------------------------------------
- 22 -
OCEANFIRST FINANCIAL CORP.
Ticker: OCFC Security ID: 675234108
Meeting Date: MAY 20, 2020 Meeting Type: Annual
Record Date: APR 03, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Angelo J. Catania For For Management
1.2 Elect Director Anthony R. Coscia For Withhold Management
1.3 Elect Director Michael D. Devlin For Withhold Management
1.4 Elect Director Jack M. Farris For For Management
1.5 Elect Director Kimberly M. Guadagno For For Management
1.6 Elect Director Nicos Katsoulis For Withhold Management
1.7 Elect Director John K. Lloyd For For Management
1.8 Elect Director Christopher D. Maher For Withhold Management
1.9 Elect Director William D. Moss For Withhold Management
1.10 Elect Director Joseph M. Murphy, Jr. For Withhold Management
1.11 Elect Director Steven M. Scopellite For For Management
1.12 Elect Director Grace C. Torres For For Management
1.13 Elect Director Grace M. Vallacchi For Withhold Management
1.14 Elect Director John E. Walsh For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Omnibus Stock Plan For For Management
4 Ratify KPMG LLP as Auditors For For Management
--------------------------------------------------------------------------------
ONEOK, INC.
Ticker: OKE Security ID: 682680103
Meeting Date: MAY 20, 2020 Meeting Type: Annual
Record Date: MAR 23, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Brian L. Derksen For For Management
1.2 Elect Director Julie H. Edwards For For Management
1.3 Elect Director John W. Gibson For For Management
1.4 Elect Director Mark W. Helderman For For Management
1.5 Elect Director Randall J. Larson For For Management
1.6 Elect Director Steven J. Malcolm For For Management
1.7 Elect Director Jim W. Mogg For For Management
1.8 Elect Director Pattye L. Moore For For Management
1.9 Elect Director Gary D. Parker For For Management
1.10 Elect Director Eduardo A. Rodriguez For For Management
1.11 Elect Director Terry K. Spencer For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
PACWEST BANCORP
Ticker: PACW Security ID: 695263103
Meeting Date: MAY 12, 2020 Meeting Type: Annual
Record Date: MAR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1A Elect Director Tanya M. Acker For For Management
1B Elect Director Paul R. Burke For For Management
1C Elect Director Craig A. Carlson For For Management
1D Elect Director John M. Eggemeyer, III For For Management
1E Elect Director C. William Hosler For For Management
1F Elect Director Susan E. Lester For For Management
1G Elect Director Arnold W. Messer For For Management
1H Elect Director Roger H. Molvar For For Management
1I Elect Director James J. Pieczynski For For Management
1J Elect Director Daniel B. Platt For For Management
1K Elect Director Robert A. Stine For For Management
1L Elect Director Matthew P. Wagner For For Management
1M Elect Director Mark T. Yung For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify KPMG LLP as Auditors For For Management
--------------------------------------------------------------------------------
PEOPLE'S UNITED FINANCIAL, INC.
Ticker: PBCT Security ID: 712704105
Meeting Date: MAY 21, 2020 Meeting Type: Annual
Record Date: MAR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director John P. Barnes For For Management
1b Elect Director Collin P. Baron For For Management
1c Elect Director George P. Carter For For Management
1d Elect Director Jane Chwick For For Management
1e Elect Director William F. Cruger, Jr. For For Management
1f Elect Director John K. Dwight For For Management
1g Elect Director Jerry Franklin For For Management
1h Elect Director Janet M. Hansen For For Management
1i Elect Director Nancy McAllister For For Management
1j Elect Director Mark W. Richards For For Management
1k Elect Director Kirk W. Walters For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify KPMG LLP as Auditors For For Management
--------------------------------------------------------------------------------
PLAINS ALL AMERICAN PIPELINE, L.P.
Ticker: PAA Security ID: 726503105
Meeting Date: MAY 20, 2020 Meeting Type: Annual
Record Date: MAR 23, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alexandra Pruner For For Management
1.2 Elect Director Lawrence M. Ziemba For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditor
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
- 23 -
PPL CORPORATION
Ticker: PPL Security ID: 69351T106
Meeting Date: MAY 13, 2020 Meeting Type: Annual
Record Date: FEB 28, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director John W. Conway For For Management
1b Elect Director Steven G. Elliott For For Management
1c Elect Director Raja Rajamannar For For Management
1d Elect Director Craig A. Rogerson For For Management
1e Elect Director Vincent Sorgi For For Management
1f Elect Director William H. Spence For For Management
1g Elect Director Natica von Althann For For Management
1h Elect Director Keith H. Williamson For For Management
1i Elect Director Phoebe A. Wood For For Management
1j Elect Director Armando Zagalo de Lima For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
4 Require Independent Board Chairman Against For Shareholder
--------------------------------------------------------------------------------
PROVIDENT FINANCIAL SERVICES, INC.
Ticker: PFS Security ID: 74386T105
Meeting Date: APR 23, 2020 Meeting Type: Annual
Record Date: MAR 02, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert Adamo For For Management
1.2 Elect Director Laura L. Brooks For For Management
1.3 Elect Director Terence Gallagher For For Management
1.4 Elect Director Carlos Hernandez For For Management
1.5 Elect Director Ursuline F. Foley For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify KPMG LLP as Auditors For For Management
--------------------------------------------------------------------------------
PUBLIC SERVICE ENTERPRISE GROUP INCORPORATED
Ticker: PEG Security ID: 744573106
Meeting Date: APR 21, 2020 Meeting Type: Annual
Record Date: FEB 21, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ralph Izzo For For Management
1.2 Elect Director Shirley Ann Jackson For For Management
1.3 Elect Director Willie A. Deese For For Management
1.4 Elect Director David Lilley For For Management
1.5 Elect Director Barry H. Ostrowsky For For Management
1.6 Elect Director Scott G. Stephenson For For Management
1.7 Elect Director Laura A. Sugg For For Management
1.8 Elect Director John P. Surma For For Management
1.9 Elect Director Susan Tomasky For For Management
1.10 Elect Director Alfred W. Zollar For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
PUBLIC STORAGE
Ticker: PSA Security ID: 74460D109
Meeting Date: APR 21, 2020 Meeting Type: Annual
Record Date: FEB 28, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Ronald L. Havner, Jr. For For Management
1.2 Elect Director Tamara Hughes Gustavson For For Management
1.3 Elect Director Uri P. Harkham For For Management
1.4 Elect Director Leslie S. Heisz For For Management
1.5 Elect Director B. Wayne Hughes, Jr. For For Management
1.6 Elect Director Avedick B. Poladian For For Management
1.7 Elect Director Gary E. Pruitt For For Management
1.8 Elect Director John Reyes For For Management
1.9 Elect Director Joseph D. Russell, Jr. For For Management
1.10 Elect Director Tariq M. Shaukat For For Management
1.11 Elect Director Ronald P. Spogli For For Management
1.12 Elect Director Daniel C. Staton For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
REALTY INCOME CORPORATION
Ticker: O Security ID: 756109104
Meeting Date: MAY 12, 2020 Meeting Type: Annual
Record Date: MAR 12, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Kathleen R. Allen For For Management
1b Elect Director A. Larry Chapman For For Management
1c Elect Director Reginald H. Gilyard For For Management
1d Elect Director Priya Cherian Huskins For For Management
1e Elect Director Christie B. Kelly For For Management
1f Elect Director Gerardo I. Lopez For For Management
1g Elect Director Michael D. McKee For For Management
1h Elect Director Gregory T. McLaughlin For For Management
1i Elect Director Ronald L. Merriman For For Management
1j Elect Director Sumit Roy For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
- 24 -
REGIONS FINANCIAL CORPORATION
Ticker: RF Security ID: 7591EP100
Meeting Date: APR 22, 2020 Meeting Type: Annual
Record Date: FEB 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Carolyn H. Byrd For For Management
1b Elect Director Don DeFosset For For Management
1c Elect Director Samuel A. Di Piazza, Jr. For For Management
1d Elect Director Zhanna Golodryga For For Management
1e Elect Director John D. Johns For For Management
1f Elect Director Ruth Ann Marshall For For Management
1g Elect Director Charles D. McCrary For For Management
1h Elect Director James T. Prokopanko For For Management
1i Elect Director Lee J. Styslinger, III For For Management
1j Elect Director Jose S. Suquet For For Management
1k Elect Director John M. Turner, Jr. For For Management
1l Elect Director Timothy Vines For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
RETAIL OPPORTUNITY INVESTMENTS CORP.
Ticker: ROIC Security ID: 76131N101
Meeting Date: APR 22, 2020 Meeting Type: Annual
Record Date: FEB 28, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard A. Baker For For Management
1.2 Elect Director Michael J. Indiveri For Withhold Management
1.3 Elect Director Edward H. Meyer For Withhold Management
1.4 Elect Director Lee S. Neibart For For Management
1.5 Elect Director Charles J. Persico For Withhold Management
1.6 Elect Director Laura H. Pomerantz For For Management
1.7 Elect Director Stuart A. Tanz For For Management
1.8 Elect Director Eric S. Zorn For For Management
2 Ratify Ernst & Young LLP as Auditor For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
SANDY SPRING BANCORP, INC.
Ticker: SASR Security ID: 800363103
Meeting Date: JUN 04, 2020 Meeting Type: Annual
Record Date: APR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mark E. Friis For For Management
1.2 Elect Director Brian J. Lemek For For Management
1.3 Elect Director Pamela A. Little For For Management
1.4 Elect Director James J. Maiwurm For For Management
1.5 Elect Director Craig A. Ruppert For For Management
1.6 Elect Director Walter Clayton Martz, II For For Management
1.7 Elect Director Christina B. O'Meara For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
SANOFI
Ticker: SAN Security ID: 80105N105
Meeting Date: APR 28, 2020 Meeting Type: Annual
Record Date: MAR 30, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Treatment of Losses and For For Management
Dividends of EUR 3.15 per Share
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Ratify Appointment of Paul Hudson as For For Management
Director
6 Reelect Laurent Attal as Director For For Management
7 Reelect Carole Piwnica as Director For For Management
8 Reelect Diane Souza as Director For For Management
9 Reelect Thomas Sudhof as Director For For Management
10 Elect Rachel Duan as Director For For Management
11 Elect Lise Kingo as Director For For Management
12 Approve Remuneration of Directors in For For Management
the Aggregate Amount of EUR 2 Million
13 Approve Remuneration Policy of For For Management
Directors
14 Approve Remuneration Policy of For For Management
Chairman of the Board
15 Approve Remuneration Policy of CEO For For Management
16 Approve Compensation Report of For For Management
Corporate Officers
17 Approve Compensation of Serge For For Management
Weinberg, Chairman of the Board
18 Approve Compensation of Paul Hudson, For For Management
CEO Since Sept. 1, 2019
19 Approve Compensation of Olivier For Against Management
Brandicourt, CEO Until Aug. 31, 2019
20 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
21 Authorize Filing of Required For For Management
Documents/Other Formalities
--------------------------------------------------------------------------------
- 25 -
SEMPRA ENERGY
Ticker: SRE Security ID: 816851109
Meeting Date: MAY 05, 2020 Meeting Type: Annual
Record Date: MAR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alan L. Boeckmann For For Management
1.2 Elect Director Kathleen L. Brown For For Management
1.3 Elect Director Andres Conesa For For Management
1.4 Elect Director Maria Contreras-Sweet For For Management
1.5 Elect Director Pablo A. Ferrero For For Management
1.6 Elect Director William D. Jones For For Management
1.7 Elect Director Jeffrey W. Martin For For Management
1.8 Elect Director Bethany J. Mayer For For Management
1.9 Elect Director Michael N. Mears For For Management
1.10 Elect Director Jack T. Taylor For For Management
1.11 Elect Director Cynthia L. Walker For For Management
1.12 Elect Director Cynthia J. Warner For For Management
1.13 Elect Director James C. Yardley For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Require Independent Board Chair Against Against Shareholder
--------------------------------------------------------------------------------
SONOCO PRODUCTS COMPANY
Ticker: SON Security ID: 835495102
Meeting Date: APR 15, 2020 Meeting Type: Annual
Record Date: FEB 26, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Harry A. Cockrell For For Management
1.2 Elect Director R. Howard Coker For For Management
1.3 Elect Director Pamela L. Davies For For Management
1.4 Elect Director Theresa J. Drew For For Management
1.5 Elect Director Philippe Guillemot For For Management
1.6 Elect Director John R. Haley For For Management
1.7 Elect Director Robert R. Hill, Jr. For For Management
1.8 Elect Director Richard G. Kyle For For Management
1.9 Elect Director Blythe J. McGarvie For For Management
1.10 Elect Director James M. Micali For For Management
1.11 Elect Director Sundaram Nagarajan For For Management
1.12 Elect Director Marc. D. Oken For For Management
1.13 Elect Director Thomas E. Whiddon For For Management
1.14 Elect Director Lloyd M. Yates For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Articles of Incorporation and For For Management
Article III, Section 7, of the By-Laws
Relating to the Vote Required for the
Removal of Directors
5 Amend Articles of Incorporation For For Management
Relating to Quorum or Voting
Requirement for Shareholders
6 Reduce Supermajority Vote Requirement For For Management
7 Provide Right to Call Special Meeting For For Shareholder
--------------------------------------------------------------------------------
TC ENERGY CORPORATION
Ticker: TRP Security ID: 87807B107
Meeting Date: MAY 01, 2020 Meeting Type: Annual
Record Date: MAR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Stephan Cretier For For Management
1.2 Elect Director Michael R. Culbert For For Management
1.3 Elect Director Russell K. Girling For For Management
1.4 Elect Director Susan C. Jones For For Management
1.5 Elect Director Randy Limbacher For For Management
1.6 Elect Director John E. Lowe For For Management
1.7 Elect Director David MacNaughton For For Management
1.8 Elect Director Una Power For For Management
1.9 Elect Director Mary Pat Salomone For For Management
1.10 Elect Director Indira V. Samarasekera For For Management
1.11 Elect Director D. Michael G. Stewart For For Management
1.12 Elect Director Siim A. Vanaselja For For Management
1.13 Elect Director Thierry Vandal For For Management
1.14 Elect Director Steven W. Williams For For Management
2 Approve KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
--------------------------------------------------------------------------------
TEXAS INSTRUMENTS INCORPORATED
Ticker: TXN Security ID: 882508104
Meeting Date: APR 23, 2020 Meeting Type: Annual
Record Date: FEB 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Mark A. Blinn For For Management
1b Elect Director Todd M. Bluedorn For For Management
1c Elect Director Janet F. Clark For For Management
1d Elect Director Carrie S. Cox For For Management
1e Elect Director Martin S. Craighead For For Management
1f Elect Director Jean M. Hobby For For Management
1g Elect Director Michael D. Hsu For For Management
1h Elect Director Ronald Kirk For For Management
1i Elect Director Pamela H. Patsley For For Management
1j Elect Director Robert E. Sanchez For For Management
1k Elect Director Richard k. Templeton For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
- 26 -
THE WILLIAMS COMPANIES, INC.
Ticker: WMB Security ID: 969457100
Meeting Date: APR 28, 2020 Meeting Type: Annual
Record Date: FEB 28, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alan S. Armstrong For For Management
1.2 Elect Director Stephen W. Bergstrom For Against Management
1.3 Elect Director Nancy K. Buese For For Management
1.4 Elect Director Stephen I. Chazen For For Management
1.5 Elect Director Charles I. Cogut For For Management
1.6 Elect Director Michael A. Creel For For Management
1.7 Elect Director Vicki L. Fuller For For Management
1.8 Elect Director Peter A. Ragauss For For Management
1.9 Elect Director Scott D. Sheffield For For Management
1.10 Elect Director Murray D. Smith For For Management
1.11 Elect Director William H. Spence For For Management
2 Amend Omnibus Stock Plan For For Management
3 Amend Qualified Employee Stock For For Management
Purchase Plan
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
5 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
TRUSTCO BANK CORP NY
Ticker: TRST Security ID: 898349105
Meeting Date: MAY 21, 2020 Meeting Type: Annual
Record Date: MAR 23, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Anthony J. Marinello For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Crowe LLP as Auditors For For Management
--------------------------------------------------------------------------------
UMPQUA HOLDINGS CORPORATION
Ticker: UMPQ Security ID: 904214103
Meeting Date: APR 20, 2020 Meeting Type: Annual
Record Date: FEB 12, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peggy Y. Fowler For For Management
1.2 Elect Director Stephen M. Gambee For For Management
1.3 Elect Director James S. Greene For For Management
1.4 Elect Director Luis F. Machuca For For Management
1.5 Elect Director Maria M. Pope For For Management
1.6 Elect Director Cort L. O'Haver For For Management
1.7 Elect Director John F. Schultz For For Management
1.8 Elect Director Susan F. Stevens For For Management
1.9 Elect Director Hilliard C. Terry, III For For Management
1.10 Elect Director Bryan L. Timm For For Management
1.11 Elect Director Anddria Varnado For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
UNITED BANKSHARES, INC.
Ticker: UBSI Security ID: 909907107
Meeting Date: APR 02, 2020 Meeting Type: Special
Record Date: FEB 05, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger Agreement For For Management
2 Issue Shares in Connection with Merger For For Management
3 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
UNITED BANKSHARES, INC.
Ticker: UBSI Security ID: 909907107
Meeting Date: MAY 12, 2020 Meeting Type: Annual
Record Date: MAR 05, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Richard M. Adams For For Management
1.2 Elect Director Peter A. Converse For For Management
1.3 Elect Director Michael P. Fitzgerald For For Management
1.4 Elect Director Theodore J. Georgelas For For Management
1.5 Elect Director J. Paul McNamara For For Management
1.6 Elect Director Mark R. Nesselroad For For Management
1.7 Elect Director Jerold L. Rexroad For For Management
1.8 Elect Director Albert H. Small, Jr. For For Management
1.9 Elect Director Mary K. Weddle For For Management
1.10 Elect Director Gary G. White For For Management
1.11 Elect Director P. Clinton Winter For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
- 27 -
UNITED FINANCIAL BANCORP, INC.
Ticker: UBNK Security ID: 910304104
Meeting Date: OCT 22, 2019 Meeting Type: Special
Record Date: AUG 27, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger Agreement For For Management
2 Advisory Vote on Golden Parachutes For For Management
3 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
VALLEY NATIONAL BANCORP
Ticker: VLY Security ID: 919794107
Meeting Date: NOV 14, 2019 Meeting Type: Special
Record Date: SEP 16, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Issue Shares in Connection with Merger For For Management
2 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
WALGREENS BOOTS ALLIANCE, INC.
Ticker: WBA Security ID: 931427108
Meeting Date: JAN 30, 2020 Meeting Type: Annual
Record Date: DEC 02, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Jose E. Almeida For For Management
1b Elect Director Janice M. Babiak For For Management
1c Elect Director David J. Brailer For For Management
1d Elect Director William C. Foote For For Management
1e Elect Director Ginger L. Graham For For Management
1f Elect Director John A. Lederer For For Management
1g Elect Director Dominic P. Murphy For For Management
1h Elect Director Stefano Pessina For For Management
1i Elect Director Nancy M. Schlichting For For Management
1j Elect Director James A. Skinner For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Require Independent Board Chairman Against For Shareholder
5 Adopt a Policy on Bonus Banking None None Shareholder
*Withdrawn Resolution*
6 Reduce Ownership Threshold for Against For Shareholder
Shareholders to Call Special Meeting
--------------------------------------------------------------------------------
WEC ENERGY GROUP, INC.
Ticker: WEC Security ID: 92939U106
Meeting Date: MAY 06, 2020 Meeting Type: Annual
Record Date: FEB 26, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Patricia W. Chadwick For For Management
1.2 Elect Director Curt S. Culver For For Management
1.3 Elect Director Danny L. Cunningham For For Management
1.4 Elect Director William M. Farrow, III For For Management
1.5 Elect Director Thomas J. Fischer For For Management
1.6 Elect Director J. Kevin Fletcher For For Management
1.7 Elect Director Maria C. Green For For Management
1.8 Elect Director Gale E. Klappa For For Management
1.9 Elect Director Henry W. Knueppel For For Management
1.10 Elect Director Thomas K. Lane For For Management
1.11 Elect Director Ulice Payne, Jr. For For Management
1.12 Elect Director Mary Ellen Stanek For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
WESBANCO, INC.
Ticker: WSBC Security ID: 950810101
Meeting Date: OCT 29, 2019 Meeting Type: Special
Record Date: SEP 23, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger Agreement For For Management
2 Issue Shares in Connection with Merger For For Management
3 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
XCEL ENERGY INC.
Ticker: XEL Security ID: 98389B100
Meeting Date: MAY 22, 2020 Meeting Type: Annual
Record Date: MAR 25, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Lynn Casey For For Management
1b Elect Director Ben Fowke For For Management
1c Elect Director Netha N. Johnson For For Management
1d Elect Director George Kehl For For Management
1e Elect Director Richard T. O'Brien For For Management
1f Elect Director David K. Owens For For Management
1g Elect Director Christopher J. For For Management
Policinski
1h Elect Director James T. Prokopanko For For Management
1i Elect Director A. Patricia Sampson For For Management
1j Elect Director James J. Sheppard For For Management
1k Elect Director David A. Westerlund For For Management
1l Elect Director Kim Williams For For Management
1m Elect Director Timothy V. Wolf For For Management
1n Elect Director Daniel Yohannes For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
4 Report on Costs and Benefits of Against Against Shareholder
Climate-Related Activities
- 28 -
====================== First Trust Tactical High Yield ETF =====================
There is no proxy voting activity for the fund, as the fund did not hold any
votable positions during the reporting period.
========================= First Trust Senior Loan Fund ========================
There is no proxy voting activity for the fund, as the fund did not hold any
votable positions during the reporting period.
==================== First Trust Enhanced Short Maturity ETF ===================
There is no proxy voting activity for the fund, as the fund did not hold any
votable positions during the reporting period.
================== First Trust Low Duration Opportunities ETF ==================
There is no proxy voting activity for the fund, as the fund did not hold any
votable positions during the reporting period.
============= First Trust SSI Strategic Convertible Securities ETF =============
There is no proxy voting activity for the fund, as the fund did not hold any
votable positions during the reporting period.
================== First Trust Long Duration Opportunities ETF =================
There is no proxy voting activity for the fund, as the fund did not hold any
votable positions during the reporting period.
- 29 -
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
(Registrant) First Trust Exchange-Traded Fund IV
-----------------------------------------
By (Signature and Title)* /s/ James M. Dykas
-----------------------------------
James M. Dykas, President and
Chief Executive Officer
Date August 19, 2020
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* Print the name and title of each signing officer under his or her signature.